Terra Literature Review

Terra Literature Review

An Overview of Research in Earthen Architecture Conservation

An Overview of Research in
Earthen Architecture Conservation

Edited by
Erica Avrami, Hubert Guillaud, and Mary Hardy

Avrami Guillaud Hardy

Terra Literature Review
An Overview of Research in Earthen Architecture Conservation
Terra Literature Review
An Overview of Research in Earthen Architecture Conservation

Edited by
Erica Avrami, Hubert Guillaud, and Mary Hardy

The Getty Conservation Institute, Los Angeles

Copyright 2008 J. Paul Getty Trust

Every effort has been made to contact the copyright holders of the
material in this book and to obtain permission to publish. Any
omissions will be corrected in future volumes if the publisher is
notified in writing.

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The Getty Conservation Institute works internationally to

advance conservation practice in the visual artsbroadly
interpreted to include objects, collections, architecture, and sites.
The Institute serves the conservation community through
scientific research, education and training, model field projects,
and the dissemination of the results of both its own work and the
work of others in the field. In all its endeavors, the GCI focuses on
the creation and delivery of knowledge that will benefit the
professionals and organizations responsible for the conservation
of the worlds cultural heritage.
Contents

vii Foreword Jeanne Marie Teutonico

ix Acknowledgments

xi Introduction Erica Avrami and Hubert Guillaud

Understanding Earthen Building Materials

1 Clay Minerals Bruce Velde

8 Geology of Clays and Earthen Materials Bruce Velde

15 Formation of Earthen Materials Bruce Velde

21 Characterization of Earthen Materials Hubert Guillaud

Assessing Earthen Architecture

32 Recording and Documentation of Earthen Architecture Claudia N. Cancino

45 Deterioration and Pathology of Earthen Architecture Leslie Rainer

62 Moisture Monitoring in Earthen Structures Brian V. Ridout

69 Earthen Structures: Assessing Seismic Damage, Performance, and Interventions Frederick A. Webster

Conserving Earthen Heritage

80 Conservation of Earthen Archaeological Sites Anne Oliver

97 Modified Earthen Materials Anne Oliver

108 Conservation of Nondecorated Earthen Materials Anne Oliver

124 Conservation of Decorated Earthen Surfaces Leslie Rainer

142 Wall-Inhabiting Organisms and Their Control in Earthen Structures Brian V. Ridout

158 Contributors

v
Foreword
By Jeanne Marie Teutonico
Our earthen architectural heritage is profoundly rich and
complex. A ubiquitous form of construction, structures
made from earth appear in the oldest archaeological sites as
well as in modern building, from large complexes and his-
toric centers to individual structures and decorated sur-
faces. At microscopic and macroscopic levels, as well as on
physical and social planes, earthen architecture is endlessly
varied and thus engages a range of disciplines in the study,
research, and practice associated with its conservation.
The field of earthen architecture has grown tremen-
dously over the last few decades. This development is
reflected in a series of international conferences that have
taken place around the globethe first in 1972 in Iran and
the most recent in 2008 in Mali. With each conference, par-
ticipant numbers have increased, along with the diversity of
attendees. Academics, scientists, professionals, and practi-
tioners, united by their interest in earthen architecture, now
convene every few years to discuss chemistry, soil science,
seismology, hydrology, structural engineering, archaeology,
sociology, sustainability, and more, as they pertain to our
earthen architectural heritage.
As the exchange of ideas within the field has expanded,
so too have opportunities for collaboration. In 1994 the
Getty Conservation Institute joined forces with the Gaia
Project (a partnership of CRATerre-EAG and ICCROM) to
promote the conservation of earthen architecture through
the first Pan-American course on the subject. Three years
later, capitalizing on their independent and shared experi-
ences in earthen architecture education, research, and field
projects, the three institutions formed Project Terra.
Among the aims of this collaboration were enhancing
research and building the body of knowledge related to
earthen architecture. Toward this end, the Terra partners
undertook the Earthen Architecture Research Survey in
1998, as a follow-up to the Gaia Research Index of 1989. The
survey polled scientists and practitioners about perceived
research needs and sought to identify current lab and field
initiatives. The survey also served as the basis for a six-week
online discussion among colleagues worldwide, which in
turn led to a research workshop at the Terra 2000 confer-
ence in Torquay, England. The workshop assembled eigh-
teen scientists, engineers, architects, and conservators who
endeavored to translate this series of initiatives into a com-
prehensive research agenda (available at http://www
.getty.edu/conservation/publications/pdf_publications/
terrasummary.pdf).
During this period, Hubert Guillaud of CRATerre-
EAG initiated a review of the earthen architecture literature
of the past fifteen to twenty years, in order to identify trends
and gaps in research. His work served as the foundation for
this Terra Literature Review, which compiles thirteen essays
on different topics germane to earthen architecture research.
The seven authors come to the inquiry from disciplines as
diverse as chemistry, mineralogy, engineering, architecture,
and mural conservation. Each introduces the specialized
bibliography of his or her particular field, mining its texts
and technical publications to provide an overview of the
body of literature and to outline recent trends in research.
The Terra Literature Review is designed as a supplement to
the Terra Bibliography, an online resource focused on
earthen architecture and its conservation available through
the Getty Web site at http://gcibibs.getty.edu/asp/.
The purposes of the bibliography and the literature
review are multifold. While designed to make the body of
earthen architecture literature more accessible, they also
aim to support research and training and to facilitate inter-
disciplinary communication and collaboration. It is our
hope that these publications prove useful resources for stu-
dents, researchers, and practitioners, as well as effective cat-
alysts for continued development of the field.
vii
viii Terra Literature Review: An Overview of Research in Earthen Architecture Conservation

Though the Project Terra partnership culminated in

2006, its long-term initiatives and goals have continued
under the programs of the individual member institutions.
The Getty Conservation Institute continues to support the
field of earthen architecture as it matures from a special-
interest topic into a distinct discipline and science through
a vigorous program that includes laboratory research, field
projects, training, conferences, and publications focused on
the conservation of earthen architecture, including this
Terra Literature Review.

Jeanne Marie Teutonico

Associate Director, Programs
Getty Conservation Institute
Acknowledgments

In addition to the contributors and editors of this review, we

would like to acknowledge the following persons for their
part in this endeavor:

Alejandro Alva of ICCROM and Hugo Houben of

CRATerre-EAG, who served as co-managers of Project
Terra.

William Ginell, Gaetano Palumbo, and Carlos Rodriquez-

Navarro, who conducted the 1998 Earthen Architecture
Research Survey, as well as all those who participated
though responses.

Ernesto Borelli, John Fidler, Richard Griffiths, Richard

Hughes, David Jefferson, Frank Matero, Urs Mueller,
Myriam Olivier, Clifford Price, Lisa Shekede, and Alberto
de Tagle, who participated in the 2000 Torquay Research
Meeting, and all those who contributed to the preceding
online discussion.

Gail Ostergren, GCI Research Associate, who carried out

the final edits of the manuscript and shepherded it to
publication.

ix
Introduction
By Erica Avrami and Hubert Guillaud
Since the first international conference on earthen architec-
ture conservation more than thirty years ago, the field has
grown exponentially. Converging interests in sustainable
architecture and in earthen heritage are charting new terri-
tory. Conservation efforts aim not only to protect earthen
vestiges but to preserve the viability of designing and build-
ing with earth. At this intersection of new construction and
conservation, there is a great potential for reinforcing links
between the built environment and its social and natural con-
texts, between sustainability and development.
While earth is not a prevalent building material in most
industrialized countries, the United States Department of
Energy estimates that over half of the worlds population
lives in a house constructed of unbaked earth (including
adobe, rammed earth, wattle and daub, and so on). It is pri-
marily a vernacular form of constructionmeaning built
without the input of a design professional and by use of local
resources. Lying outside the trajectory of Greco-Roman
centered architectural history, these vernacular forms and
traditions are not well represented in university curricula.
Building codes in many countries prohibit construction in
earth, and the lack of university- and industry-driven
research and development precludes standardization and
improvement of earthen materials and techniques.
These conditions have posed a great number of chal-
lenges for the earthen architecture field. There is little sup-
port for scientific research, both basic and applied, that
relates specifically to the technological and cultural aspects
of building with and conserving earth. Much of the research
undertaken to date has been empirical testing related to the
efficacy of treatments. Research from ancillary fields has
offered some insights, but it often cannot be directly trans-
ferred to earthen construction or to historic earthen materi-
als. Research related directly to earthen architecture
conservation thus remains somewhat disparate, lacking the
focus and resources that could be provided by a community
of investigators that is better connected and more fully
developed.
Though daunting at times, these challenges have
prompted a fair amount of synergy within the community of
practitioners working with earth. The series of international
conferences on earthen architecture conservationnow
totaling tenhas taken a broad view, encompassing techni-
cal research, field practice, heritage management, and new
design. The conference proceedings constitute the primary
venue for publishing studies on the preservation of earthen
heritage. However, as Anne Oliver notes, conference publica-
tions have inherent drawbacks. Often only the abstracts are
submitted to the selection committee, and the subsequent
papers are, by and large, not subject to peer review. This lack
of review, combined with limitations on text, results in a
range of information that varies dramatically in quality and
quantity. Because most studies are driven by practice, empha-
sis is often on sites and their conservation, as opposed to
research issues that cut across the field. In the end, this signif-
icant body of conference literature provides important
insights into experiences and advances in earthen architec-
ture conservation, but it has not propagated the kind of
in-depth scientific research that is needed by the field, nor has
it fostered the necessary dialogue between practitioners and
scientists.
This volume represents a multifaceted effort to delve
beyond the core of conference proceedings and to review the
broad range of studies that inform earthen architecture con-
servation. The aim of this effort has been to analyze strengths
and weaknesses in the body of research literature, evaluate
directions on which recent research has focused, and identify
gaps in knowledge, so as to inform and encourage future
research that is responsive to the needs of the field. Focusing
on publications of the past twenty years, Hubert Guillaud
of CRATerre-EAG (the International Centre for Earth
ConstructionSchool of Architecture of Grenoble) undertook
xi
xii Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
an initial review of nearly thirteen hundred texts; this review
provided a general lens on research areas and yielded three
major themes: understanding earthen building materials,
assessing earthen architecture, and conserving earthen heri-
tage. A group of scientists, engineers, architects, and conser-
vators then took on specific topics within these themes for
further review.
The reviews themselves range in scope and function. In
many cases, the published literature related to a specific topic
in earthen architecture conservation is quite limited, so the
reviewer has provided a synopsis of relevant research and its
potential application to earthen heritage. In other instances, a
substantial body of research indicated clear trends and gaps,
and a traditional review of the literature has been presented.
In the section entitled Understanding Earthen Building
Materials, Bruce Velde and Hubert Guillaud address issues
related to the properties and behavior of earthen materials
and their constituents. Within the realm of earthen architec-
ture and its conservation, little research has focused on these
fundamental dynamics. Thus, Velde provides a summary of
geochemical research and raises issues germane to earthen
construction. Guillaud addresses the identification and
characterization of earthen materials, which have been fairly
well established with regard to new construction, and he
identifies means of further developing research and trans-
lating it to earthen heritage.
In the section Assessing Earthen Architecture, Claudia
N. Cancino, Leslie Rainer, Brian V. Ridout, and Frederick A.
Webster explore a range of topics related to the pathology and
deterioration of earthen structures, as well as to the evalua-
tion of their condition. Cancino looks to the heritage record-
ing and documentation field and how it has been brought to
bear on diagnosing earthen sites and buildings, and she iden-
tifies research on methods that would benefit the field. Rainer
reviews the published research on earthen architecture
pathology and deterioration and finds some synergy regard-
ing the factors of decay, but she also notes a dearth of infor-
mation on deterioration processes and their manifestations
in particular materials and contexts. Ridout examines the
relatively extensive literature on moisture monitoring and its
application to earthen architecture. Webster provides an
overview of literature related to assessing seismic damage in
earthen structures, and he segues into conservation issues
with a discussion of research on the development of seismic
interventions.
In Conserving Earthen Heritage, Anne Oliver, Leslie
Rainer, and Brian Ridout discuss research concerning the
preservation of earthen sites, structures, and surfaces, as well
as specific forms of intervention. Oliver covers the bulk of the
literature directly related to earthen architecture conserva-
tion in sections dealing with archaeological sites, nondeco-
rated earthen elements, and modified earthen materials.
Rainer looks at the specialized issue of decorated earthen sur-
faces, drawing links between architectural and wall paintings
conservation. Ridout brings a vast body of literature related
to biocontrol to bear on earthen architecture, specifically
addressing research related to wall-inhabiting organisms.
While the reviews take a variety of directions, they are
consistent with and underscore an integrated and compre-
hensive methodology for preserving earthen heritage.
Many of the authors emphasize the need to relate technical
research to broader issues of contextfrom concerns for
the environment to addressing socioeconomic develop-
ment. Solving technical problems requires judicious analy-
sis of the many factors that contribute to them. Scientific
research is understood as one aspect of broader planning
for heritage management and of the strategic advancement
of earthen architecture.
Improved links between research in the lab and efforts
in the field are suggested by many reviewers, further high-
lighting the need for enhanced dialogue among practitioners
and scientists addressing issues related to earthen construc-
tion and conservation. A particular theme that resonates
throughout is the importance of follow-up monitoring and
evaluation of conservation interventions; we need to know
what our long-term successes and failures are in order to
learn from them.
An important, final theme that emerges is the inextri-
cable link between conserving earthen heritage and pro-
mulgating earthen building. Much of the constructive
culture of earth lies in its continued evolution as an archi-
tectural form and tradition. Forging connections between
conservation and new construction remains an important
task, both in research and practice.
The purpose of this publication is not to provide answers
but, rather, to begin to focus on the important questions. It is
hoped that this compilation provides the kind of overview
that will engage others in the exploration of those questions
and foster an ongoing discourse and research agenda in ser-
vice to the field. We are duty bound to say that there is still
much to learn, for the science of earthen architecture conser-
vation is barely nascent, although it does show great promise.
Faced with the might and beauty of this tremendous earthen
heritage that we wish to conserve, it behooves us to remain
modest and vigilantto seek, to experiment, and, above all,
to share our experiences.
Clay Minerals
By Bruce Velde
Clay minerals are an integral part of earthen building
materials. Forming the smallest grain size portion of this
material, they also have specific mineralogical and physical
properties that make them different from other common
natural minerals. For this reason it is important to look
further into their specific mineralogical character and their
geologic origin.
This text provides a very brief overview of the critical
properties of clay minerals in their interaction in earthen
materials.1 This is the most important aspect of clay miner-
alogy and the understanding of clays in nature. The chemi-
cal, internal structure of a clay mineral makes for very
specific characteristics of chemical reactivity. The small size
and specific crystal shape give other properties, which are
more physical. Both factors contribute to an interaction of
the clays with their environment that makes them impor-
tant elements in interactions concerning the biosphere.
Clays are at the same time physically and chemically active.
They combine with water to make pastes, slurries, and sus-
pensions by attracting water molecules to change their
effective physical particle size. Clays take various chemical
substances (ions or molecules) onto their surfaces or into
the inner parts of their structure, becoming agents of trans-
fer or transformation.
Physical Properties of Clay Minerals That Are Most
Important for Earthen Materials
Particles and Shapes
Clays are fine-grained minerals with particle diameters of
< 2 m (106 m, 0.002 mm). This definition of a clay mineral
was given in the nineteenth century to materials beyond the
1
Thanks are given to Springer for permission to use materials modified
from B. Velde and I. Druc, Archaeological Ceramic Materials: Origin
and Utilization (Heidelberg: Springer, 1999).
resolution of the optical microscope. Microscopists and
mineralogists in those times saw that individual particles
existed in the submicroscopic range, but they could not
identify them in a systematic manner, as was done for min-
erals of larger size, using their specific optical properties.
Thus the designation clay minerals came into use for sub-
microscopic and crystalline material. As it turns out, most
of the silicate minerals of this grain size found in nature
have some very special mineralogical characteristics in
common, and hence, a posteriori, the choice of this name
for a mineral group has, in fact, proved very useful. How-
ever, it should be remembered that not all mineral grains in
nature in the < 2 m range are of the same mineral type.
Nonclay minerals, such as quartz, carbonates, and metal
oxides, most often can form 10%20% or more of a clay-size
assemblage in nature.
Chemical analyses were nevertheless made of clay min-
eral substances of fine grain size in the nineteenth century,
most often with good results. However, the crystal structure
and mineralogical family were poorly understood. This lack
of understanding was mostly because of the impurities in
clay aggregateseither other phases or multiphase assem-
blages. Slow progress was made in the early twentieth
century, but the advent of reliable X-ray diffractometers
allowed one to distinguish between the different mineral
species found in the < 2 m grain size fraction. Now we know
much more about clay mineral X-ray diffraction (XRD)
properties.
The properties of clays in earthen materials are in fact
dominated by their surface properties. If the clay particles
are not chemically activei.e., charged electricallythey
will behave much as other minerals of the same grain size
and shape, which are rarer in nature.
Clays mineral shapes can be divided into the following
particle shape groups:
1
2 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation

Flakes: sheets of equal dimension in two directions and a
thickness of in the other
Laths: sheets of a linear aspect, where the width is great
in one direction and much less so in the other; the
thickness is always much less than the other two
directions
Needles: two directions are similar in dimension, while
the last one is much greater (of which asbestos is a rare
but important example)
Hexagons: where the flakes have a definite regular shape
Clays and Water
Surface Effects (Newman 1987)
Small mineral crystals have a very special effect on water mol-
ecules. Their mineral surface attracts the polar water
molecules through weak charge forces (van der Waalstype
bonding). The crystals are covered by several layers of water
molecules that are weakly bonded to them. These layers
of water do not have the same physical or chemical properties
as that of bulk water. These mineral-water units change
the physical properties of the aqueous solution. They thicken
it, changing its viscosity. Thus the combination of minerals
and water forms a material with a special physical state. The
action of mixing small mineral particles in an aqueous solu-
tion is akin to that of mixing dust and water to make mud.
Any silicate mineral, the stuff of surface geology, will attract
water molecules. The mineral species such as quartz or calcite
do this, as do clay minerals. The surface area compared to
the grain size is the determining factor that makes clay pastes
so plastic.
The small grain size of the clay crystals automatically
gives them a special property, one of great surface area com-
pared to the volume of the particle. In general, the relative
surface area of a grain increases as diameter decreases. The
minerals most commonly called clay minerals have the
characteristic of being sheet shaped (hence the name phyllo-
silicate). This means that they have even more surface area
than most minerals of the same grain size, which tend to be
cubes or spheres in their fine-grained state. The ratio of
thickness to length for sheet-shaped clay particles is nor-
mally near 20, which is very high. This gives a clay particle
nearly three times the surface area as a cube of the same vol-
ume. Thus, no matter what its specific surface properties, the
importance of the surface of a clay mineral crystal is great.
There is a difference in relative surface area for different
grain shapes, such as spheres, cubes, and sheet structures.
The relation between particle diameter and the ratio of sur-
face to volume (units squared divided by units cubed) varies
greatly for the different particle shapes. The sheet structure,
with the same width to length but a thickness of only one-
tenth its length, has a very large surface area that increases
greatly as particle size (diameter) decreases.
Water Molecules inside Clay Crystals (Laudelout 1987)
Some types of clay minerals have a special property that allows
them to incorporate water molecules into their structure. This
water, associated with charged cations, can move in and out of
the structure; in doing so, it changes the dimension of the clay
particle. These minerals are called expanding or swelling
clays. Other clays are called, by symmetry, nonexpanding or
nonswelling clays. The incorporation of water molecules into
the clay structure is quite reversible under atmospheric condi-
tions, being directly related to the ambient water vapor pres-
sure and temperature. In general, the more humid the air in
contact with the clay, the more water can be found in between
the silicate layers of the clay structures. In the tropics, for
example, expanding clays will tend to be constantly hydrated,
while those in deserts will only occasionally be hydrated to
swelling.
Swelling clays have a basic silicate structural sheet layer
that is 10 thick. The water introduced around a hydrated
cation (usually 1+ or 2+ in charge) forms either a two-layer
structure of 5.2 thickness or, under less humid conditions
or higher temperatures, a layer 2.5 thick. Extreme hydra-
tion can produce a more ephemeral 17 three-layer struc-
ture. All in all, hydration can vary the volume of a clay
particle by as much as 75%. Thus, if one thinks of building a
house with expanding clay, it is best to be sure that it is
either constantly hydrated or constantly dehydrated! Most
of the absorbed and adsorbed water, associated with cat-
ions, is expelled from clays at temperatures above 110C.
Concerning earthen materials, the more swelling clay pres-
ent, the more shrinkage on drying one must expect.
Mixtures of Water and Clays
The interaction of clays and water can be studied from each
end of the spectrum: (1) water-clay mixtures, and (2) clay-
water mixtures.
1. Water-clay mixtures: When clays are added to an
aqueous solution, there is a gradual change in the
structure of the water solution as the clay particles
become more abundant. As more of the water itself is
associated with the clays on surface layers, the bulk
properties of the solution are modified to form what is

called a slurry (suspension of clays in water), which
becomes viscous as a function of the amount of clay
present. The clay suspension densifies the aqueous
solution and increases its viscosity. If other molecules,
organic or inorganic, are associated on the clay surfaces,
the clay acts as a carrier, keeping the other molecules
homogeneously dispersed in the water suspension.
2. Clay-water mixtures: Coming from the other end of the
spectrum of physical properties, when one adds water to
a clay powder, the clay picks up the water and distrib-
utes it around the particles. When relatively little water
is present, and the clays are just covered with water
layers, the result is a cohesive but plastic mass. The weak
cohesive forces of these aggregates allow the particles to
slide over one another, giving a certain plasticity to the
mixture. The easy absorption of the water allows one to
model the resulting plastic material.
The greater the surface area of a clay particle compared to its
volume (i.e., sheet > lath > needle), the more the surface
properties will be apparent in those of the clay-aqueous
mixture.
Another important property of small particles is their
ability to stay in suspension in water because of thermal
agitation (Brownian motion). Small quantities of clay par-
ticles of < 2 m stay in aqueous suspension for many hours
because of their small size. The duration of time that they
remain in suspension is augmented by a flat shape, which
keeps them from falling rapidly, like a sheet of paper when
taken up in the air on a windy day. The suspension of clay
particles in aqueous solution tends to separate them from
other minerals of the same grain size that do not have the
sheet shape. The effect of particle size is demonstrated when
particles of an earthen material of different sizes are placed
in a beaker and stirred, and settling is allowed to occur over
several seconds or minutes. This effect allows clays to be
transported in aqueous suspension in preference to the
other minerals of larger grain size. As a result of this effect,
the aqueous suspension preferentially moves clays from one
area to another (stream flow, ocean currents).
Water, Ions, and Clay Minerals: Cation Exchange Capacity
(Laudelout 1987)
A very important property of clay mineral surfaces is their
chemical activity and their interaction with ions in solu-
tion. In natural aqueous solutions, one almost always finds
dissolved material. This material is normally composed of
Clay Minerals 3
charged ions or, at times, of molecular species that can be
attracted, with their surrounding water hydration complex,
by a weakly charged surface, where they are adsorbed. This
is the case for most natural materials. Clays have such a
weakly charged surface, but some species, the expanding or
swelling clays, have a higher, internal charge, which is open
to ionic migration. The more highly charged surface then
lies within the clay structure. The hydrated, charged ions
are thus absorbed by the clays into internal crystallographic
sites. The charge on the internal surfaces of clays is much
greater than on the outer surfaces, by a factor of 25 or more!
The property of adsorbing and absorbing ionic species in
solution is called cation exchange capacity. This capacity is
measured in terms of the total of charged ions that can be
fixed onto the surfaces of clays. The measurement is made as
moles of ionic charge fixed on 100 g of dry clay.
If the ions or charged molecules in solution can be
attracted to the internal clay surface, there will most often
be a sort of selection process operating when more than one
species is present in the aqueous solution. The more, pro-
portionally, an ion is present in solution, the more of it will
be on the charged clay surface (the law of chemical mass
action). However, the strength of attraction of the ions onto
clay surfaces (internal or external) is not the same for all
species. There is a competition or selection between differ-
ent species of ions available or present in solution. Some are
more strongly attracted to the clay surfaces than others.
This selection effect depends upon the species of clay and its
chemical constitution, as well as the affinity of the ions to
remain in a free hydrated state in the aqueous solution.
The composition of the aqueous solutioni.e., the con-
centration of ions in solutioncan affect the attraction for
clay sites as well. When an ion is held on a clay (adsorbed at
the surface or absorbed within the clay) and displaced
because of a change in its aqueous concentration, the ion is
desorbed. When the desorbed ion is replaced by another
species introduced into the aqueous solution, it is
exchanged, in a process known as ion exchange. For simple
ionic species in solution, these relations are known as
cation exchange. The normal laws of mass action are active
in the exchange process: the differences or deviations from
ideal, one-for-one exchange (exchange being a direct pro-
portion of the ion available for exchange) are of great
importance and have been the subject of many studies. The
selectivitythat is, the preference of the clay for one dis-
solved species over anotheris of great importance to the
fate of material as it passes in contact with clays.
4 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
It should be mentioned here that not only hydrated cat-
ions in aqueous solution can be fixed onto the clay surfaces
or in internal sites as exchange ions. Organic molecules are
often found to be attracted as either absorbed or adsorbed
species.
Crystallographic Structure of Clay Minerals (Moore
and Reynolds 1997)
Clays are called phyllosilicates. This name is given because
in most cases their grain shape is that of a sheet, much thin-
ner than wide or long. This aspect has a fundamental cause.
With regard to the inner structure, the bonding direction of
the constituent atoms is such that the strong forces are in
essentially a two-dimensional array. The stronger the bond,
the more tightly the atoms are held; conversely, the weaker
the bond, the more likely it will be broken. Thus, when the
bonds are easily broken in only one direction, a sheet struc-
ture results. Also, when the crystals are growing, they tend
to grow faster in the strongly bonded direction, and the
result is the same as that for bond breaking: the extension of
the crystal is essentially two dimensional. The thickness
compared to width and length in phyllosilicates is often
about 1 to 20.
Covalent Bonding in Layers
The ionic bonding in clays is highly covalent. Roughly half
of the ions present in a clay structure are oxygen (anions),
and among the cations, silicon and aluminum are the major
constituents. These cations and anions form highly covalent
units that are commonly interlinked into what is called a
network.
When viewed on an edge, the clay mineral structure
resembles a series of layers of alternating cations and anions,
which are largely interlinked from layer to layer via cation-
oxygen ion bonding. Where layers of silicon cations are
linked to oxygen anions, the immediate geometry of the
oxygens around the cation (silicon) is in the form of a tetra-
hedron. The alternating layers of cations form different coor-
dination polyhedra with the linked oxygen anions. The
outermost layer of cations is usually silicon dominated and a
silicon tetrahedral, in clay mineral jargon.
Another configuration of cation coordination with oxy-
gens is one where cations have six oxygen anions around
them, giving an octahedral polygon coordination; hence, it is
called an octahedral linkage and layer. Tetrahedral and octa-
hedral cation layers alternate in clay mineral structures. Most
often the oxygen anion layers are ignored in clay structure
terminology, and the structure is identified by the presence of
tetrahedral and octahedrally coordinated cation layers.
A clay crystal is made of varying numbers of the tetra-
hedral and octahedral layers coordinated to oxygen ions.
The crystal is a succession of repeating sequences of the
basic tetrahedral-octahedral layers. These are the basic units
of the clay mineral crystal.
Repeat Distances
The tetrahedral and octahedral ionic basic units, which form
sheet structures of great lateral dimension, have a given and
constant thickness. This is called the fundamental repeat
distance of the mineral. It is measured in angstroms. There
are three basic combinations of tetrahedral-octahedral coor-
dinated ion layers in clays that are formed by:
one tetrahedral + one octahedral layer =
7 unit layer, a 1:1 structure
two tetrahedral + one octahedral layer =
10 unit layer, a 2:1 structure
two tetrahedral + two octahedral layers =
14 unit layer, a 2:1+1 structure
The repeat distances are generally identified by X-ray dif-
fraction. These layer thickness dimensions can also be seen
by high-resolution transmission electron microscopy. In
clay mineralogy, one frequently refers to the major mineral
types by the fundamental repeat distance, such as a 10, 14,
or 7 mineral.
Crystalline Water
Hydrogen ions are also present in all clay minerals. They are
in fact cations, but they are special ones. They are associated
with oxygen ions in specific parts of the mineral structure,
where octahedrally coordinated ions are present. When
heated, the clay yields this hydrogen in the form of water,
combining with oxygens in the structure; hence it is called
crystalline water. This hydrogen or crystalline water is
strongly held in the structure, and heating to hundreds of
degrees Celsius is required to extract it. The sites of hydro-
gen ions in clay structures are as follows:
If only octahedrally coordinated cations are present,
hydrogen ions are associated with the two layers of
oxygens in the octahedrally coordinated cation layers.

If the structure has two tetrahedral layers and one
octahedrally coordinated layer of cations, the hydrogen
is associated with only one of the oxygen layers.
When the crystalline water is expelled from the clay struc-
ture, it loses its form and becomes amorphous. This heat-
ing process is the basis of the formation of clay-based
ceramic materials. Destruction of clay structures occurs at
temperatures ranging from 450C to 650C, after heating
periods of several hours. The temperatures at which this
material leaves the structure can be used to identify the
clay mineral.
Chemical Substitutions in the Structures: Ionic
Substitution and Charge Balance
Different Layer Types
It is possible to look at the ions and charge balance in a clay
mineral by either considering the cations or the anions in a
given portion of the structure. For example, one can con-
sider the tetrahedral unit either as a silicon cation sur-
rounded by oxygens, or as four oxygen anions enclosing a
silicon ion. In most chemical structural formulas for miner-
als, both the cation and the anion content are given. The
charge on both must match.
The standard structurally linked clay units of 7, 10, and
14 are given as follows, in terms of the oxygen and hydro-
gen content:
7 = O5(OH)4 = 14
10 = O10(OH)2 = 22
14 = O10(OH)8 = 28
Tetrahedra
Each cationic layer in a layer structure has a given charge
per unit cell. The tetrahedral unit has a charge of 4+ per site.
It is assumed by convention that all of the tetrahedra, a
majority being occupied by silicon ions, are occupied in all
clay structures. Moreover, there are no hydrogen ions asso-
ciated with the linked oxygen ions of the silica tetrahedra.
Octahedra
The octahedral cation sites have a total charge of 2+ per site.
In the octahedral, there are either two ions of charge 3, or
three ions of charge 2, giving a total charge of 6+. The
arrangement of two ions is designated as a dioctahedral
mineral, and the arrangement of three divalent ions is a tri-
Clay Minerals 5
octahedral mineral. The hydrogen ions in clays are found
associated with these cations.
Ionic Substitution
As in most natural minerals, different elements can be
found in the two cationic sites, tetrahedral and octahedral,
described above. Such a continuous array of compositions is
called solid solution, a term that references the gradual
change in composition possible, without abrupt discontinu-
ities or gaps.
Isocharge Substitution
If an ion of the same charge is substituted in a site, no other
compensation is necessary. For example, if Mg2+ substitutes
for Fe2+, they are both divalent, and no other compensation
is necessary in the structure.
Charge Imbalance Substitutions
Ionic substitution of cations with nonequivalent charges in
one coordination layer of the clay structure (tetrahedral or
octahedral) results in a charge imbalance that creates a
charge on the layer of the clay unit. This charge imbalance
attracts cations of opposite chargehence, the cation
exchange capacity described above, and the insertion of
hydrated ions into the clay structures. If the charge induced
by substitution is high, the cation is absorbed without hydra-
tion. Thus, there are two types of clays, those that swell
(accept hydrated cations between the structural units) and
those that do not, called nonswelling clays. These nonswell-
ing clays can have an uncharged structure or a high charge
structure.
Clay Mineral Classification
Swelling Clays (Low Charge on the Unit Layers), or Smectites
The property of absorbing cations and water into the clay
structure defines the major classification of clay minerals:
their swelling properties (expanding minerals and nonex-
panding minerals) and the basic crystallographic repeat
unit of the layer structures. All swelling or expanding clays
have a 2:1 structure, with two tetrahedral layers and an
octahedral layer. These swelling clays are called smectites.
Dioctahedral Smectite (Swelling Clay)
Beidellite is an aluminous mineral with two tetrahedral
layers of mostly Si ions. Al substitution is the major
6 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
source of charge imbalance. The octahedral layer is
composed mainly of Al ions.
Montmorillonite is an aluminous mineral with the two
tetrahedral layers almost exclusively occupied with Si.
Charge imbalance comes from divalent ion substitu-
tions, Fe or Mg, for trivalent Al in the octahedral site.
Nontronite is a ferric mineral with minor substitution of
Al in the octahedral site, and occasionally Mg ions
substituting for Fe ions.
Trioctahedral Smectites (Swelling Clay)
Saponite has a charge imbalance largely dominated by
substitutions in the octahedral site by the introduction of
divalent ions and by the presence of vacant sites that
lower the positive charge balance, necessitating a
compensation in the interlayer site.
Vermiculite is characterized by material that comes from
rather special, nonclay environments, hydrothermal
alteration, and soils; swelling is low.
Nonswelling Clays (No Charge)
7 1:1 Clays
Chamosites are trioctahedral clay types with Mg and Fe
in the octahedral.
Kaolinites are dioctahedral clays containing only Al.
10 , 2:1 Clays
Pyrophyllite has exclusively Al in the octahedral site.
Talc always has near three divalent ions in the octahedral
site, with a small number of trivalent ions in the octahe-
dra and tetrahedra. Significant substitution of Fe for Mg
occurs in the octahedral site.
Nonswelling Clays (High Charge)
Micas
Micas have a charge imbalance between 0.8 and 1.0, and
as a result, there is an interlayer ion between the layer
units that strongly binds the mineral into a coherent unit
of several to many 10 layers. These minerals are micas
or mica-like minerals, and they are exclusively dioctahe-
dral in low-temperature environments. The interlayer
ion is almost exclusively K. There are no trioctahedral
micas that are stable in clay mineral environments. In
minerals that originate in the clay mineral surface
environments, charge on the structures is always slightly
less than the 1.0 per unit cell typical of a mica. Hence,
these minerals should be designated as mica like, since
they are not true mica structures. True micas have a
different composition as far as charge is concerned, and
they are also generally found in rocks that have been
subjected to higher temperatures than those where clay
minerals form (Velde 1985). Micas are usually of greater
grain size than clay minerals, > 2 m when they form.
Illite is an aluminous 10 mineral with some substitu-
tion of Fe3+, Mg, and Fe2+ in the octahedral site and some
Al in the tetrahedral site, which gives rise the greatest
part of the layer charge imbalance. Si content is usually
less than 3.50 ions. Two tetrahedral and one octahedral
layer with an interlayer ion population (K) holding the
layers firmly together give a near 10 unit layer. This is
the most common mica-like mineral found in earthen
materials.
Glauconite-Celadonites are more rare, Fe-bearing,
low-temperature micaceous (potassic) minerals.
14 Chlorites: Two Octahedral + Two Tetrahedral Unit
Layers, 2:1+1
These minerals are similar in composition to the 7 ber-
thierines. In low-temperature environments, chlorites are
strictly trioctahedral, with ditrioctahedral-type substitu-
tions in up to half of the octahedral sites. This substitution
is also found in the berthierine-serpentines (7 minerals).
Some substitution of trivalent ions (Al3+) in the tetrahedral
site also occurs, which compensates a portion of the triva-
lent ion substitution in the octahedral site. Thus, the chlo-
rite compositions are the result of complex, simultaneous
substitutions, presenting several types of ionic substitution
at the same time. The basic structure of chlorites is, in fact,
similar to that of a mica or a micaceous mineral, but the
interlayer site is occupied by a hydroxyl octahedral layer.
Chlorites found in low-temperature environments, such as
in soils and on the ocean bottom, are very rich in iron. As
temperature increases, chlorites become more magnesian
(Velde 1985).
Mixed Layered Minerals
The mineral types and structures described above are rela-
tively simple. Being composed of either two-layer or three-
layer units to form either 7 or 10 minerals, chlorites can
be considered to be a derivative of the 10 structure. There
is, however, a relatively large number of cases in which a sin-
gle clay crystal is made up of a composite of different basic

structures. Since the clays are phyllosilicates, the mixed lay-
ering occurs in the layer plane. For example, a layer of mica
can be substituted for a smectite layer in a mineral. These
minerals are called interlayered or mixed layered minerals,
terms that refer to their composite structure, which consists
of a series of different layers of compositions corresponding
to mineral species. They are generally considered to be a
more or less stable (or at least persistent) assemblage of dif-
ferent layers in crystallographic continuity. However, they
often occur in geologically dynamic environments where
mineral change is evident, and hence, they are often consid-
ered to be transition or intermediate phases (Velde 1985).
Not all mixed layer phases fall into in the category of
intermediate mineralssome being formed in specific con-
ditions with neither precursor nor apparent successor min-
erals. They do not show a gradual transition in bulk
composition. However, whether or not mixed layer miner-
als are stable phases, they do exist, and they can be charac-
terized by X-ray diffraction and other methods.
Mixed Layering Mineral Types
If the elements in a mixed layer mineral are repeated with
regularity, the mineral is called a regular mixed layer min-
eral. Otherwise, the clay is an irregular mixed layer mineral.
We will take the most prevalent case of two layer types, here
called A and B. Mixed layer minerals are common. Most of
the clay types are mixtures of mica and smectitethat is,
2:1, tetrahedral-octahedral alternances of swelling and non-
swelling unit layers. Occasionally one finds kaolinite (1:1
structure) interlayered with smectite (2:1 structure).
Nonclay Minerals in Earthen Materials
Iron Oxides
The oxides of iron are not generally considered clay miner-
als, although they are of small grain size. However, they are
not silicates, and hence are often neglected in the discus-
sions of clay minerals. This is a great injustice to iron oxides
because they are very apparent, despite their general low
abundance in soils, sediments, and sedimentary rocks. The
Clay Minerals 7
simple fact of the presence of iron oxides is that they are
very strong coloring agents. These colors are quite remark-
able, and they also tell us something about the chemical
conditions under which the materials containing them
formed. The basic colors, along with their minerals and
compositions, are as follows:
red hematite Fe2O3
yellow to brown goethite alpha-FeOOH
orange lepidocrocite gamma-FeOOH
black maghemite FeO
Zeolites
Zeolites are frequent in some clay mineral environments.
They generally indicate the existence of a high silica activity
in the aqueous solutions, affecting silicate crystallization.
Zeolites are not phyllosilicates, and for the most part, they
have crystal sizes above the 2 m limit given as a definition
of clay minerals. However, this very brief treatment of these
minerals is due to their frequent association with clays in
their finer fractions.
References
Laudelout, H. 1987. Cation exchange equilibrium in clays. In
Chemistry of Clays and Clay Minerals, ed. A. C. D. Newman,
22536. Monograph [Mineralogical Society, Great Britain],
no. 6. Harlow, UK: Longman Scientific and Technical.
Moore, Duane Milton, and Robert C. Reynolds. 1997. X-Ray
Diffraction and the Identification and Analysis of Clay Minerals,
2nd ed. Oxford: Oxford University Press.
Newman, A. C. D. 1987. The interaction of water with clay
mineral surfaces. In Chemistry of Clays and Clay Minerals, ed.
A. C. D. Newman, 23774. Monograph [Mineralogical Society,
Great Britain], no. 6. Harlow, UK: Longman Scientific and
Technical.
Velde, B. 1985. Clay Minerals: A Physico-Chemical Explanation
of Their Occurrence. Developments in Sedimentology, vol. 40.
Amsterdam: Elsevier.
Geology of Clays and Earthen Materials
By Bruce Velde
This paper provides a brief description of the occurrence of
clays in nature, especially those found at the surface of the
earth and, thus, most likely to be used for earthen building
materials.1 Such occurrences concern the geology of clays:
the geological processes that lead to the creation of clays, the
transformation of clays, and the destruction of clays in
the different geological environments. Clays, as is the case for
most materials on earth, are ephemeral. They have a life span
that is governed by their geologic history. Clays occur under a
limited range of conditions in geological space (time and
temperature, essentially depth). They are found at the surface
of the earth. Their origin is, for the most part, initiated in
the weathering environment (rock-atmosphere interface),
though some clays form at the water-sediment interface (deep
sea or lake bottom). A few clays form as a result of the interac-
tion of aqueous solutions and rocks at some depth in
a sedimentary pile or in the late stages of magmatic cooling
(hydrothermal alteration). This last occurrence is not
great in extent, but it is very important to geologists, as
they have often been called upon to aid human activity in
the form of economic deposits used in ceramics and other
industries.
Why Clays Form (Velde and Druc 1999, 5973)
Most clays are the result of interaction between aqueous
solutions and rocks. The dissolution and recrystallization
process that occurs at this encounter is that of clay mineral
origin and transformation. Clays are not stable in anhy-
drous environments. The proportion of water to that of the
solids (rock) that interact determines the rate of reaction,
1
Thanks are given to Springer for permission to use materials
modified from B. Velde, ed., Origin and Mineralogy of Clays: Clays
and the Environment (Berlin: Springer, 1995) and B. Velde and I. Druc,
Archaeological Ceramic Materials: Origin and Utilization (Berlin:
Springer, 1999).
8
the type of chemical reaction, and, in the end, the type of
clay mineral formed. When large amounts of water are pres-
ent, the solids in the rock tend to be very unstable and, for
the most part, they dissolve. Dissolution is the first step of
most water-rock interactions. The greater the renewal of the
water input (rain or fluid circulation), the more dissolution
will occur. As the ratio of water to rock approaches 1, the
reactions are more and more dominated by incongruent
dissolution, in which certain elements go into solution and
others remain in the solid state left in the skeleton of the
altered rock. The new solids are generally clay minerals;
they are hydrated (having interacted with water), and they
have a special physical structure that is very different from
that of the preexisting minerals in the rocks that reacted
with the aqueous solution. Because of their hydration, they
have a greater volume than the previous minerals. The ini-
tial stages of alteration and those that follow include signifi-
cant dissolution of rock material; thus, the formation of
clays results in an aggregate of lower density than that of the
initial rock. Voids are usually produced in the alteration or
clay-forming process during water-rock interaction. The
proportion of voids produced is a function of the relative
amounts of water and rock that interact.
Where Clays Form
The different clay mineral environments are related in space,
at or near the surface of the earth. The clay environment is
limited to a certain range of temperature, and it is also lim-
ited in time. The stability of most clays is, in fact, only
attained at the very surface of the earth, in approximately
the first several hundred meters of depth in the earths crust.
When temperatures exceed more than 50C80C, the clays
are unstable, and they begin to change into other miner-
alseither into other clay minerals or into different min-
eral structures such as micas and feldspars. Long periods of
time can effect change in the mineralogy of the clays them-

selves. If temperatures are of lesser duration, for periods of
days or years, the temperatures needed for clay formation
can reach several hundreds of degrees centigrade.
Clay Formation: The Chemical Necessity
The origin of clay minerals is found in the interaction of
rocks (silicate minerals) and water. This indicates that the
clays are hydrousand more so than the minerals in most
rocks. The overall reaction of
rock + water clay (1)
is a reasonable starting point to describe the origin of clay
minerals. However, things are more complex than that. The
mechanism by which water hydrates silicate minerals is
hydrogen exchange. Most clay minerals in fact contain mol-
ecules (OH) that have a specific role in the mineral struc-
ture. The only difference between, for example, a potassium
ion (K+) and a hydrogen ion (H+) contained in water is that
the hydrogen ion can be expelled from a mineral structure
at lower temperatures than the potassium ion. In fact, the
potassium ion will be incorporated into another mineral
instead of leaving the solid phase upon destruction of the
clay mineral, whereas the hydrogen ion tends to form a gas
(combining with oxygen to form water), which leaves the
clay when a high enough temperature is reached (usually
between 400C and 600C in clay minerals). In a very gen-
eral way, one can describe the thermal stability of hydro-
gen-containing minerals such as clays as
clay + heat rock + water (2)
which is roughly the reverse process of clay formation (1).
The geologic causes of clay mineral genesis are found in
temperature change and in chemical change. The major
environments of clay formation and accumulation in nature
are as follows: surface interaction (weathering) dominated
by chemical change; transportation and accumulation (sed-
imentation); and deposition and burial (sedimentary rock
formation).
Weathering (Righi and Meunier 1995; Brady and
Weil 2002)
Segregation of Elements by Weathering
Initially it is necessary to go back to rocks. Rocks are hard
and compact and have their origin generally somewhere
well below the surface of the earthi.e., below the interface
of air, water, and rock. They are hard and compact because
they have been compressed by the weight of sediments or
Geology of Clays and Earthen Materials 9
other rocks at some depth as they have been buried. This
increase in pressure is accompanied by higher temperature
with depth in the earths crust. When taken out of their nat-
ural habitat (high pressure and temperature), rocks are
unstable in wet conditions. Rainwater, when combined with
atmospheric carbon dioxide (CO2), becomes slightly acidic,
containing an excess of hydrogen (H+) ions, and this attacks
the rocks. Hydrogen is exchanged for cations in the miner-
als, and this phenomenon is called weathering when it
occurs at the surface of the earth. The end result of surface
alteration processes is the production of clay minerals and
oxides, which form the basis of mud, and ion-charged water.
Unreacted material forms sand.
The interaction of acidic water and rocks in weather-
ing involves segregation of the major elements into new
minerals: clays, oxides, and soluble elements. The cation
elements that are found in clays of weathering origin are
silicon (Si), aluminum (Al), hydrogen (H), and some iron
(Fe) and magnesium (Mg). One also finds some potassium
(K) permanently fixed in the mineral. The oxides are mostly
iron (Fe) forms.
The calcium (Ca), sodium (Na), and, to a slightly lesser
extent, magnesium (Mg) and potassium (K) are taken into
solution. The fate of most of the material in solution is
eventually to find its way into the ocean, where a large por-
tion of the cations are used by animals to make their car-
bonate-rich shells (Ca and some Mg). These shells are the
basis for a type of sedimentary rock, carbonate, which is
very common. Sodium remains in the sea, giving it its salty
character.
During the interaction of rainwater and rocks to form
clays and oxides, some of the grains in the rocks are not
entirely reacted with the rain. These are part of the altera-
tion product; they are in granular form and are sandy or
gritty in texture. Weathering thus produces two of the
major components of earthen building materials: clays and
sand. The proportion of these elements in a soil profile var-
ies as a function of depth.
The Structure of a Weathering Profile
Soils are probably the major source for earthen materials
used in housing and small-dwelling construction. Hence, it
is necessary to look at the details of soils. Soil formation is
dependent on dynamic processes. The variables of soil for-
mation are climate (rainfall and temperature), source rock
(mineralogy of the initial substrate involved), and geomor-
phology, which is considered to be dominated by slope. In
10 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
cold, steep-sloped mountains, there is little soil, while on
flat continents in hot climates, the soils are very deep. Time
is another factor in explaining the thickness and develop-
ment of soils. The older the soil, the deeper it will be. All of
these factors are related to the type of vegetation that is pres-
ent, and this also has a very strong influence on the soils
developed. Hence, the soil one finds in a given spot is due to
several, often interrelated factors.
Parts of an Alteration Profile
The initial stages of soil formation are found at the base of
the soil profile where the bedrock begins to be transformed
into what is called saprock. This transformation is gradual,
affecting selected mineral grains in a multi-mineral assem-
blage, as is the case for most rocks. Each mineral grain has
several characteristics that are related to its transformation
into clay minerals. Some grains in the same rock are very
easily transformed, whereas others remain little affected. As
a general rule, the higher the alkaline earth content (Ca, Mg
in the case of silicate minerals), the more unstable a mineral
will be. Also, the presence of divalent iron (Fe2+) is a factor of
chemical instability. Iron has a strong tendency to be oxi-
dized to a trivalent state (Fe3+) in the surface environment.
When it changes valence, the electronic balance of the initial
mineral is changed, and as a result this mineral becomes
unstable, changing to another or other minerals. Therefore,
rocks containing alkaline earth and iron-bearing minerals
will weather or be altered very rapidly. These initial processes
occur in the saprock sector of a soil profile. As further altera-
tion occurs, almost all of the original minerals are changed
to some extent, except for the most chemically resistant. In
this part of the profile, the old rock identity is mostly lost,
and only traces of the original minerals remain. This is the
saprolite part of an alteration profile.
In the soil portion of an alteration profile, one finds
only clay minerals and some sand grains that are resistant
to weathering. No trace of the old rock structure is left. At
the top of this part of the alteration profile, one finds the
root mass of the plants growing in the clay-rich portion of
the alteration profile. The soil portion of the alteration pro-
file is usually divided into the upper, organic-rich horizon
(A), a clay-enriched horizon (B), and the underlying source
material, which is generally the saprolite. The A horizon is
defined by organic activity, and the B horizon by the accu-
mulation of clays by fluid flow through the A horizon.
Variations in Weathering Profiles (Velde 1992)
Development of a soil is dependent upon where it is formed;
this fact is due to several factors:
1. Water, time, and chemistry: In weathering phenomena,
there are several guiding principles one can use to
follow or predict which minerals will be formed in a
given setting. The types of clay minerals formed are
dependent upon the ratio of water to rock involved in
the process and the type of rock (its chemistry)
involved. In initial stages of alteration, at the initial
contact between rock and water, the rock has a strong
influence on the clay mineral compositions and the
species present. Since rocks are chemically variable,
the clay assemblages are more varied in this environ-
ment. As water-to-rock ratios change and water is more
abundant, the rainwater becomes more dominant. Since
the chemical variability of rainwater is very limited, the
clay mineral assemblages become very limited. How-
ever, if the chemical forces are overwhelming, such as in
the wet tropics, the soils will yield all the same minerals
regardless of the parent material at the base.
In the course of interaction between solids and
liquids as rainwater, the aqueous phase is initially
unsaturated with respect to the elements or ions present
in the solids. The first interaction is one of dissolution
of the solids to come to an initial equilibrium. This
dissolution selectively takes from the solids the mono
valent and divalent ions (K+, Na+, Ca2+, Mg2+), leaving
behind the trivalent (Al3+) and quadrivalent ions (Si4+).
This is the famous hydrogen-for-cation exchange step,
or hydrolysis, of the solids. If the rainwater supply is
renewed frequently, the overall effect is to take out all of
the potassium, sodium, calcium, and magnesium from
the soil-rock. The resulting solid material tends to be of
the same chemical composition and, hence, of the same
clay mineralogy. The result is an accumulation of
hydroxyoxides and oxides in the solids. If the supply of
unsaturated rainwater is limited, there is time for the
solutions to saturate themselves with the soluble ions,
with some left over to enter into the soil clay minerals.
Under these circumstances, the clay minerals become
more varied and complex. As the pressure of dissolution
is lessened, the variety and complexity of the clays
increase.

Thus, these three factors (water supply, time, and
chemistry of the rocks or soils concerned) are dominant
in the formation of soil clay minerals and soils
themselves.
2. The effect of climate: Overall, climate, as it affects
weathering, can be measured in terms of rainfall and
temperature. The more often it rains, the more water is
present in the pores and cracks of a rock or soil, and the
less time it has to become saturated with the elements in
the solids. The hotter the climate, the faster chemical
reaction proceeds, and the more intense the alteration.
Tropical, wet climate is found at high-intensity condi-
tions where the variety of clays is small; desert, moun-
tain, or arctic climates are found at low-intensity
conditions where the interaction is so small that few clay
phases are formed, and the interaction is dominated by
physical processes. Temperate climatesin which rain
is relatively abundant and temperature is moderate
produce the greatest variety of clay minerals in the
alteration of rocks and soils.
3. The effect of slope or drainage: Slope and drainage are
similar to the climate effect, except that they operate
under the same conditions of climate. The higher the
slope, the less time the rainwater resides in the soil or at
the interface of rock alteration. This water is renewed
frequently and has little time to become saturated with
the soluble elements in the solids. The result is that high
slopes give weathering intensity results similar to those
of intense tropical weathering. However, if the slope is
extremely high, the water-rock interaction is so minor
that no alteration occurs, and one is in the situation of
desert or arctic soils, where the only forces are physical;
such forces break up the rock without changing the
mineral composition.
One important aspect of the effect of slope is the
displacement of material through erosion. Combined
with the effect of running water, gravity has a tendency
to displace soil materials to the bottom of slopes. This
circumstance has the effect of mixing materials that
have been produced on the upper portions of a slope
with those formed in lower areas of the slope. Hence,
some material that has been little affected by chemical
alteration is mixed with material that has reacted
greatly with altering rainwater solutions. Probably as
much as the chemical effect, this mixing contributes to
the heterogeneity of clay assemblages in soils. High
Geology of Clays and Earthen Materials 11
slopes give more erosion, and this takes away the clays
formed chemically, leaving a new surface open to attack
by abundant rainwater.
Weathering profile thickness is affected by slope.
On mountainsides, the water, though it may be abun-
dant, will tend to run off rapidly, and hence the soil is
not very thick there. Lower, more gentle slopes allow
more water-rock interaction, and soil profiles become
thicker and richer in clay. Hence, topography is a factor
in the production of clay minerals by weathering.
Weathering profiles that are very old will be thick.
The action of alteration has much time to accomplish the
production of clay minerals in old weathering profiles.
Soils developed on old, flat, and stable areas, such as
western Africa, tend to be very deep and rich in clay,
reaching tens of meters in depth.
From Rocks to Soils to Sediments and Back to Rocks (Hillier
1995; Velde 1995; Weaver 1989)
The weathering origin of clays, or the new minerals formed
at the earths surface, is by chemical exchange. This chemi-
cal process is then integrated into the general scheme of
geologic interaction that is physical interactionmountain
building and erosion, processes that give rise to the com-
mon features we see at the earths surface. Rivers and lakes,
floodplains, and beaches are all important sources of geo-
logical interactions that create an accumulation of earthen
materials.
Water Flow and Sedimentation
If one takes the product of weatheringthat is, soiland
puts it into a beaker or glass, then stirs it up, a mechanical
sorting is effected. The lightest and, more importantly, the
smallest grains settle more slowly. As most silicates have
about the same density (around 2.5 times that of water),
grain size is a very important factor in settling. The smaller
the grain, the more friction is effected on its surface as it
falls through the water. This action is basically controlled
by the ratio of the surface of the grain to its volume. As
clays are the smallest materials with regard to grain size,
they tend to stay afloat longer and can be separated from
bigger grains.
If one pours the beaker, the clays are separated from
the sand and gravel. When the remaining material is stirred
again and allowed to settle less, one can extract the sand
12 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
fraction from the gravel, and so forth. This is a fundamental
process in nature. As hills are eroded and valleys created,
the materials in a soil profile, from top to bottom, are
exposed to water transport. The fine-grained materials,
clays as well as sands and gravel, are transported by streams
and rivers toward the sea. The destination of all flowing
water is, of course, the sea, even though most does not make
it there. As one moves from higher slopes to flat terrain, the
grain size of deposits decreases. Along the ocean, one finds
fine beach sands, and on the ocean bottom, clay minerals.
The same is true to a lesser extent in lakes, where water
moves slowly and there is time for the fine-grained materi-
als to find their way to the bottom of the body of water.
In the zones of river transportation on terrain of moder-
ate slope, there are several possible types of deposits that will
be found near one another. In such areas, builders using
earthen materials can choose their materials from among
those in a small geographic area. Along rivers one can find
mixtures of fine sand and clay, especially on floodplains
along flat-lying rivers. Those rivers that wind their way
through the countryside will give mixed deposits of clay and
sand. Often in one spot there will be a concentration of sand,
while in another nearby area, there will be a concentration of
clay. In the bed of the river, one finds more sandy deposits.
The dynamics of transportation and the origin of earthen
materials in a typical countryside are demonstrated in a
hypothetical situation, in which a large river flows through
a slightly hilly terrain. The river cuts into the underlying
bedrock, exposing a clay-rich sedimentary layer on one of
the sides of the valley the river has carved. The soil formed
from this material, as well as that from another type of rock
on the other side, is eroded or carried to the river bottom by
gravity and rainwater action. Along the riverbed and bank,
one finds deposits of earthen materials (rich in clay and sand)
that are deposited during high water or flood stages. These
will be more fine grained than in the river bottom. Next to
the river, the higher-energy deposits, which are more sandy,
occur. In this situation, one can find several sources of
earthen materials readily at hand: sedimentary rocks, soils,
river floodplain sediments, and river bottom sediments.
Each will have a different grain size distribution, more fines,
and more sand and will be adapted to different uses.
Wind Transport
A special type of transport and deposition is the wind. This
type of transport is mostly concerned with fine material
above clay size (greater than 0.002 mm). Most people know
about sand dunes, large accumulations of sand along sea-
coasts or in desert basins. These materials are largely moved
and deposited by wind. A second type of deposition is
through wind acting on glacial outwash plains. During the
time of continental glaciation, large amounts of fine materi-
als were deposited on the edges of the glaciers by streams.
This material was in turn swept around in great windstorms,
and it accumulated farther from the glaciers edge. These
outwash plains and silt deposits (silt is a fine-grained sand
that is carried farther than sand because of its smaller size)
typically cover hundreds of miles from the glacial edge.
They could subsequently be concentrated on the floodplains
of rivers. The most striking examples of this type of deposit
(called loess) are found in China. However, in large portions
of North America (especially in the Midwest United States)
and in northern Europe, loess deposits are very frequently
present. The loess layers vary from tens of centimeters to
meters in thickness. This fine-grained materialin fact, a
mixture of silt and claycan be readily used in the produc-
tion of earthen structures.
Burial of Sediments
As sediments are deposited in basins or on the edges of
oceans, they tend to be buried by other sediments. This pro-
cess implies that the floor or basement on which the sedi-
ments are deposited descends as new sediments are added
onto them. This is roughly true, though sometimes sedi-
mentary basins get filled and sedimentation stops, and
sometimes the basement subsides faster than the sediments
can fill the basin. The filling basin is the most commonly
evoked in geology, where there are just enough sediments to
keep up with the subsidence of the bottom of the basin.
A given layer sedimented at a given time in geologic
history will be buried progressively. Thus it goes deeper into
the earth, and, as is the case, the ambient temperature
increases. The ambient pressure also increases. As sedi-
ments are piled on top, pressure tends to favor the more
dense phases (silicates have a density 2.5 times that of water),
and hence the water of sedimentation is expelled. The sedi-
ments become drier. Upon sedimentationi.e., deposition
on the floor of the oceanclay-rich materials have a free
water content of 80%. That is to say that there are about 80%
holes in the sediment. As this sediment is buried, its free
water content decreases, the holes or pores decrease, and
they become about 15% of the sediment at depths of 3 km.
This process changes the physical properties of the
sediment.

Also, as burial is greater, temperature increases, and
this effects change in the minerals present. Temperature is
the motor of mineralogical change. When enough thermal
energy is added to the sediment, its mineralogy will change.
The clays produced at the surface in the soils will no longer
be stable, and they will be replaced by others. The old ones
recrystallize to become others that are more stable at higher
temperatures. A change in form and mineralogical identity
occurs. This is the process of metamorphism. As the miner-
als change and water is expelled, the structure of the rock
becomes more dense, and the increasing pressure effects a
densification of the sediment. The soft, deformable sedi-
ment becomes a hard rock.
Sedimentary Rocks
Sedimentary rocks are composed of soil-derived materials,
rich in clays and/or sands, or else they are derived from the
dissolved species of elements brought by rivers to the sea,
where they are transformed into carbonates, essentially
through the action of shell animal life. The three main groups
of sedimentary rocks are carbonates, sandstones, and shales,
the last being formed from clay materials. As might be
expected, the carbonates will redissolve when subjected to
acid rainwater interaction. Their contribution to soils is mini-
mal. Soils developed on carbonates tend to be clay rich,
formed from the clays included in the initial carbonate rock.
Shales, the result of consolidation and minor change in
the soil-derived sedimentary material, are, of course, rather
resistant to chemical weathering because the minerals
found in them are nearly always those stable at the surface
under weathering conditions. The difference between a sed-
imentary rock clay mineral and one found in the soil devel-
oped on it is not great, and hence they tend to resemble each
other. Shales develop thick, clay-rich soils. Shales can often
be used directly as earthen materials. Sands and sandstones
are the most resistant to chemical attack under weathering
conditions, because they are formed by the concentration of
the most chemically resistant mineralquartz. This min-
eral remains largely intact and is recycled many times in the
geologic landscape.
In general, the less change a sediment has undergone
through the actions of sedimentation and burial, the less it
will react with the chemical environment of weathering.
Metamorphic Rocks
These rock types are all of generally high cohesionthat is,
they are hard and denseand physically they behave largely
Geology of Clays and Earthen Materials 13
like volcanic or plutonic magmatic rocks. Metamorphic
rocks are those that have been transformed, metamor-
phosed, from others by heat and pressure. Initially, meta-
morphic rocks were either sedimentary or magmatic
materials.
Characteristics of Materials Suitable for
Earthen Structures
For the moment we will consider two types of material:
clays and nonclays. One, clay, is a term related to grain size
(< 2 m, 0.002 mm or 10 -6 m), and it also designates a type
of mineral with a peculiar grain shape, one like a sheet of
paper. Nonclays are of grain sizes greater than clays. The
nonclay materials are usually divided into grain size cate-
gories of silt (250 m in diameter) and sand (50 m to
2 mm in diameter). These two size categories are usually of
nonclay material (sheet silicates), and hence they have a rel-
atively small attraction for water because of their relatively
small surface area compared to their volume. For the most
part, these materials are nonplastic. The various combina-
tions of these grain size categories have given rise to the
classification of earthen materials. Unfortunately, there are
two such classifications, one used by people studying sedi-
ments (sedimentologists) and the other used by people
dealing with soils.
The origin of earthen materials, then, involves the
chemical origin of clay minerals, weathering. It also involves
the transportation of weathering products that produces
different types of concentrations of the more or less fine-
grained material. These concentrations are found in differ-
ent types of sitesriverbeds, floodplains, beaches, and lake
and ocean bottoms. Some of the material that can be con-
sidered to be earthen material is, in fact, a sediment or
deposit that has been subjected to mild burial conditions,
those of poorly consolidated sedimentary rocks. The origin
of earthen materials is, thus, not only related to chemical
effects (weathering) but also to the transportation of these
materials.
References
Brady, Nyle C., and Ray R. Weil. 2002. The Nature and Proper-
ties of Soils, 13th ed. Upper Saddle River, NJ: Prentice Hall.
Hillier, S. 1995. Erosion, sedimentation and sedimentary origin.
In Origin and Mineralogy of Clays: Clays and the Environment,
ed. B. Velde, 162214. Berlin: Springer.
14 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation

Righi, D., and A. Meunier. 1995. Origin of clays by rock
weathering and soil formation. In Origin and Mineralogy of
Clays: Clays and the Environment, ed. B. Velde, 43157. Berlin:
Springer.
Velde, B. 1992. Introduction to Clay Minerals: Chemistry,
Origins, Uses, and Environmental Significance, 1st ed. London:
Chapman and Hall.
Velde, B., and Isabelle C. Druc. 1999. Archaeological Ceramic
Materials: Origin and Utilization. Natural Science in Archaeol-
ogy. Berlin: Springer.
Weaver, Charles E. 1989. Clays, Muds, and Shales. Develop-
ments in Sedimentology, no. 44. Amsterdam: Elsevier.

. 1995. Compaction and diagenesis. In Origin and

Mineralogy of Clays: Clays and the Environment, ed. B. Velde,
22045. Berlin: Springer.
Formation of Earthen Materials
By Bruce Velde
The earthen materials used in construction are quite diverse,
because of the variations of local resources and building
techniques. This paper does not attempt to address the full
range of materials and typologies. Rather, it provides an
introduction to some general principles that inform the rela-
tionship between building materials and their formation.
Methods of Forming Earthen Materials
If one considers the possible methods of producing materi-
als for building that support significant forcesi.e., struc-
tural elements1there are essentially two processes:
1. Mixing the earth with water to a liquid state, forming
the desired shape in a mold, and letting the water escape
by evaporation. This is, roughly speaking, the adobe
technique.
2. Slightly dampening the earth to a desired state in which
the material is composed of three materials (solids,
water, and air), with the last two occurring in pores, or
empty, spaces. The preparation is placed into a mold
the size of the final desired object, and a high-energy
impact is applied to compact the earth. This is the pis,
or rammed earth, technique.
The two materials, rammed earth and adobe, are diametri-
cally opposed with regard to the physical methods used to
achieve the final state and volume of the building material.
In the case of adobe, the loss of water shrinks the material
into the final shape. Volume loss can often reach 20%.
Shrinkage must occur toward the center of the object in the
mold, so that few cracks are formed. The solid grains
approach one another by mutual attraction forces. The
hardened, dry material should have a high crushing
1
The formation of nonstructural elements (i.e., non-load-bearing
elements, such as wattle filling in walls) is not considered here.
strength. The individual elements produced by the process
are relatively small in size and stacked, to produce the even-
tual building element, such as a wall.
The rammed earth method takes the opposite approach,
by expelling the water by compaction pressure and having
the constituent grains approach one another by force. The
building element is near the final size of the object to be pro-
duced, such as a wall. Here the desired mechanical strength
is obtained by dynamic force and not by natural attraction
of the individual constituents.
With such different approaches to building, it follows
that constituent materials in the rammed earth and adobe
methods will be different, along with grain size and other
characteristics. One would expect grain sizes, types of con-
stituents, and so forth to be different. However, at present,
there is no real consensus as to which characteristics of
earthen building materials most influence performance (see
Characterization of Earthen Materials, p. 21). What this
discussion attempts to do is to explore some of the varying
characteristics of earthen materials from the limited per-
spective of how they were formed, in the hopes of informing
continued discussion and research.
Drying, or the Adobe Method
This method employs the shrinking characteristics of clay
and earthen materials as the principal agent of formation
and stability of the building product. The natural tendency
of clays is to form a compact and resistant mass upon dry-
ing. This is not the case for nonclay minerals. Most likely,
the difference between clay and nonclay grains is due to the
shape: clays have a flat shape with large, flat surfaces that
can be attracted to one another on drying by electrostatic
forces, once the water layers naturally attracted to the clays
have left the system. In nonclay materials, the grains are
shaped in a more irregular manner, where grain-to-grain
15
16 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
contact surface area is reduced, and the contact cohesion by
electrostatic forces is much lower (Prost et al. 1998).
Adobe materials can nevertheless have quite variable
clay content (Coffman et al. 1990). Thus, ideal conditions
are often not met, and the necessity of adaptation of local
materials is seen to come into play. In order to overcome the
inadaptability of local resources, other materials are often
added to the earth material, such as vegetal matter (Miller
1934; Orazi 1995) or calcite and perhaps lime (Jerome 1993;
Austin 1990). It has been noted that similar materials com-
ing from the same area that are used for rammed earth or
adobe constructions have different grain size distributions
(Ranocchiai, Fratini, and Manganelli del F 1995). The spe-
cific limits of proportions of clay and nonclay materials used
in adobe practice seem, for the moment, to be unknown.
One important requirement, however, is that the materi-
als dry into a homogeneous, compact mass without cracks
forming within it. This principle is simple enough in theory
and must be respected rigorously in practice. In the forma-
tion of adobe bricks, the proportions of the clay minerals and
the specific species of clays (swelling or nonswelling), among
other factors, will determine the properties of the final prod-
uct. For example, the wind-derived loess deposits of China
would seem to be well suited in that they contain little swell-
ing clay, whereas the nice black earth of the Midwestern
plains in the United States, derived from loess but formed
under grass vegetation, contains much swelling clay and
would perhaps be a poor candidate. In addition, the shrink-
age of the clay masses can be significantly influenced by the
common practice of adding other materialssuch as vegetal
matter, lime, or calcitewhich may serve as binders. How-
ever, before such generalizations can be drawn, more precise
investigations must be made into the types of material used
and their mineral plus organic material content.
Compaction
Static Compaction (Craig 1992, 24899)
Compaction is generally studied in the laboratory in a sim-
ple oedometric system, where a sample is held in a rigid tube
and pressure is applied uniaxially, perpendicular to the
tube. The system has infinite constraints laterally to prevent
deformation and has a deviator of variable force vertically.
Most tests are carried out in the water-saturated state, in
order to avoid problems of heterogeneous rigidity due to the
structure or resistance of dried clay materials. These condi-
tions are, of course, not those of earthen building materials,
and hence there are significant challenges in applying such
information to the studies at hand. Water saturation is a ref-
erence state in laboratory compaction tests. The water in the
sample is allowed to drain from either end of the sample
under pressure, so that the pore pressure (internal hydro-
static pressure) is near that of atmospheric pressure. Thus,
the deformation is accomplished by application of pressure
vector to the solids in the sample in a cylinder with infi-
nitely resistant walls, where water escapes the system as
deformation occurs. This configuration results in two types
of movementvertical and lateralas the materials descend
in the tube and flatten toward the walls. The deformation is
not of only one kind: one is compressive and due to collapse,
and the other, due to lateral movement, has a certain shear-
ing component. A second aspect, and one of great impor-
tance, is that the sample is generally observed for a short
period of time (hours). This amount of time is usually suffi-
cient to permit the compressed water to escape the system,
allowing a minimum of hydrostatic internal pressurebut
not long enough to permit the attainment of structural
equilibrium. Consequently, one has information and a series
of numerical formulations designed to explain these results
on a limited time scale, but not necessarily on a scale perti-
nent to the problem of natural compaction. Therefore, one
must take the interpretations of laboratory data as a first
approximation to the problems of the compaction of earthen
materials.
This method of compaction is most closely related to
modern rammed methods, in which high compaction pres-
sure is obtained and maintained for several minutes.
Dynamic Compaction: Rammed Earth and the Proctor Test
(Craig 1992, 2429)
In the 1920s, a standard test was developed to determine the
amount of compaction that a soil or earthen material will
undergo under dynamic compaction. This is the Proctor
test. It involves the dynamic compaction of a sample by
allowing a weight (2 lb.) to fall a given distance (1 ft.) a given
number of times (25) on a sample of a given thickness in a
tube of a given diameter. The density of the material is then
measured, and it is related to its resistance to mechanical
deformation. This test is done several times on the soil or
earthen material at different water contents. The maximum
water content is that of the field drained saturation of the
natural material, which depends on its porosity and the
absorption of water by the clay-sized particles. Typically,
the density initially decreases as water content increases,
then it increases for a given material until it passes through

a maximum. This maximum is 6%8% less than the maxi-
mum (saturation) water content of the sample. Different
sample conditions will give a line of optimum density for
the test. The laboratory tests consist, then, of hydrating a
given material at different states and performing the com-
paction experiment in order to determine the water content
that gives the greatest density. In the field, one attempts to
control the water content when compacting the soil-earthen
materials. This procedure is critical for road building and the
construction of other earthen works. The compaction
in the field is usually performed by heavy vehicles moving
over the earthen materials. This compaction process is
dynamichence the application of the Proctor test, where
the application of pressure is of short duration by gravity
fall of a heavy object.
In this Proctor test, the critical point is that the opti-
mum situation is one where a three-phase system (solids,
water, and air) is present in the sample. The air space is nec-
essary to allow the compaction of the sample without its
attaining the state of liquid-solid. In this state, the water
would resist the applied pressure by hydraulic conductivity,
and the sample would not be further compacted. The ideal
state of the Proctor test is one in which the water can be
displaced locally, and the problems of displacement of water
due to low permeability are overcome. Hence the high
water content samples show a sharp drop in final density. In
optimum conditions, air-water-solid, the excess water
expelled by initial compaction fills the air space, which
allows the solids to come in contact in the presence of water.
When the water content is too low, there is poor compaction
(low density), due to hardened, rigid masses of clay. Thus,
some water is critical to good compaction of earthen materi-
als under dynamic conditions, but enough is enough. As it
turns out, this high-density state attained by dynamic com-
paction is very robust and resists very well mechanically.
Such is the method used for many centuries by builders of
rammed earth structures (without the help of Mr. Proctor).
If one compares the density attained with the dynamic
compaction of soils and the compaction one would have
under the same pressure conditions in a static test for long
periods of time (days), the dynamic compaction is less effi-
cient than the saturated conditions under oedometric
conditions (results of personal experiments). Dynamic com-
paction gives lower mechanical resistance than static com-
paction (unpublished data of the author). However, the
dynamic compaction is rapid and still highly efficient.
The optimum grain size distribution in earthen materials
Formation of Earthen Materials 17
for such compaction has been determined over many years
experience (Houben and Guillaud 1994).
What interests us here are the reasons for this efficient
dynamic compaction and its long-lived effect. As we have
seen, the grain shape of natural materials changes with
their size. The clay-sized particles are essentially those of
the clay mineral family, and they are tabular or sheet
shaped. Silt and sand grains tend to be rounded because of
the crystallography of these materials (quartz and tectosili-
cates). The large grains come into contact in few points
because of their shape. The clays can fill the interstices, but
alsoand probably more importantlythey can form
films at the contacts of the grains. The clay-sand contact is
probably the key to the stability of earthen structures.
Unfortunately, the exact nature of the contact and its sta-
bility are not known at present.
Grain Shape and Compaction
The difference in shape between clay minerals and tectosili-
cates (quartz, feldspar) is of great importance with regard to
the effect of compaction. Sand, mostly quartz, grains are
usually rather round in shape. They can be considered as
approaching a spherical shape. Clays, on the other hand, are
sheet shaped or tabular or they have a long rectangle shape.
When sand is compacted, the average porosity (i.e., volume
not occupied by the sand grains) is about 30%. When clays
are compacted in the most dense manner, the porosity is
near 5%10%. Thus, the potential for compaction of clays in
their initial, natural state is much greater than that of sand.
Grain Shape Effects on Compaction Curves
First and foremost of importance is the fact that the soil and
earth materials subjected to pressure constraints are gener-
ally heterogeneous in grain size and grain shape. This means
that, in each sample, dynamic solicitation and the adjust-
ment of the individual grains to it will depend largely on the
neighbors present and the organization of those neighbors.
The proportions of the differently sized and shaped grain
components are important, in that they will determine the
bulk response of the materials. For example, small flat grains
(the clays) will not respond to pressure vectors as do rounded,
coarser sand grains. Clays tend to slide on one another,
while sand grains tend to push into one another in a rigid
manner, and they eventually break at points of contact where
stress is concentrated. Clays, in general, will behave in a
plastic manner, while sands will behave in a fragile manner.
Thus, the size distribution of the components is important
18 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
because the materials are not homogeneous in their shapes
as a function of size, and responses to pressure will depend
on this size-shape function.
The compaction of sands is small, while that of clays is
great. The effect of mixing different types of particles is not
linear. This observation suggests that there is a significant
amount of interstitial filling of small clay particles between
sand grains in the higher proportions of sandsand hence,
little initial compaction for the coarse grain size. Well-
sorted sand grain assemblages (homogeneous in grain size)
will have up to 40% porosity. This porosity will be filled in
the low-clay-content mixtures by the clay particles. Hence,
the amount of compaction will not be important, as the
clays fill in the holes. As clay content increases beyond 60%
of the mixture, the compaction increases greatly. At this
point, the spaces between the round sand grains are filled,
and the plastic effect of the clays becomes very apparent.
Therefore, the relative proportions of the different grain
sizes are an important consideration in dealing with soil
and earth materials, because the shapes and response of the
grains of different sizes are different. The more large grains
present, the more rigid will be the behavior of a sample, and
there will be a stronger tendency to deform the material by
grain breakage. Here the resistance to compaction is great at
lower pressures. The more clay present, the greater will be
the tendency to deform the material in a plastic manner
i.e., by flow of the solids as the clay grains slip over one
another in order to accommodate compressive forces.
Associated Fields of Research Applicable to Earthen
Compaction
Agriculture (Horn et al. 2000)
There is a great deal of information available on the dynamic
compaction of soils in the agricultural literature. The prob-
lem of densification of soils under the impact of heavy farm
machinery is very critical. If a soil is compacted under
Proctor conditionsi.e., optimum relations of solids, air,
and waterthe resultant densified soil mass is unusable for
several years in the agricultural context. Hard, compact soil
masses are not good for the root growth of new crops. There-
fore, there is a great amount of literature devoted to the con-
ditions under which different soils can be compacted.
The farm problem is the inverse of that concerning
earthen construction. The farmer wishes to get into the field,
on his very heavy equipment, as soon as possible in the grow-
ing season, before the drying effect hardens the soil. How-
ever, if he is in the field too soon, the compaction effect will
do great harm to the soil material in his field. The studies of
compaction in farming are interesting to us, in that they are
due to a dynamic pressure impact, and they deal with the
transmission of the compaction effort into the earthen mate-
rial. The deeper in the soil one goes, the more dispersed the
dynamic energy of the compaction will be. Other aspects of
the extent of the compaction process are the organic matter
content of the soil, the soil texture (grain size distribution),
and, of course, the water content. All of these terms come
into play in problems of earthen construction. Thus, it is
often useful to consult this agricultural literature in the con-
text of compaction, along with the information found in the
literature concerning engineering problems.
Another aspect of soil compaction research that is
interesting to investigators dealing with earthen building
materials is the importance of compaction on water flow or
permeability. In agriculture, permeability is extremely
important. Plant roots need air to survive. Hence the stud-
ies of compaction and its effect on soil moisture content and
water flow are well detailed.
Foundry Molds
There are other areas that can supply practical information
concerning the effects of sand and clay compaction. For
example, in the metal industry, molds into which molten
metal is poured are made of sand-clay mixtures. The com-
ponents are clean quartz sand and the clay mineral smec-
tite. The ideal mixture is 6%8% clay and the rest sand. This
material, when compacted in a slightly wet state, is very
stable under the solicitation of molten metal pouring. It is
known that the clays form thin coatings on the sand grains,
and in doing so, they come into contact between sand
grains. Since the porosity of well-sorted sand is near 30%, it
is obvious that the clay does not fill all of the pores. There-
fore, the presence of clay will be efficient only as a relay
between the sand grains as they are compacted to form the
molds. Clay content will be small, and porosity will be great.
However, even if the density is low, the material will be
highly stable.
Stability under Load (Marshall, Holmes, and Rose 1996, 2949,
22945)
A field of research that seems to be rarely explored with
regard to ancient earthen structures is their physical stabil-
ity as a function of time. Deformation with time is gener-
ally called plastic behavior. Once a structure is obtained,
either by the adobe or rammed earth method, the forces of
 Formation of Earthen Materials 19

the structure (load pressure) exert a force on the materials initial conditions of building but also the possible variations
that is resisted by the inherent strength of the material. with time in the life of an edifice.
Stone and fired brick have a strong resistance to plastic Yet another aspect of humidity change is one of cycles.
flow, and major failures are due to internal cohesion or Wetting and drying are important in the formation of
crushing strength. However, clay materials (where the clays cracks in soils and clay-rich materials (Pillai and McGarry
are still intact and can attract water layers to their surfaces) 1999). Recent studies (unpublished work by the author) of
are subject to plastic flow or deformation that is not limited soils shows that wet-dry cycles tend to associate the clay
in time. particles into aggregates, forming cracks at their borders.
In this evolution, the position of the pore spaces is changed
from dispersion in the material (a rather stable condition)
Kinetics of Plastic Deformation (Creep)
to high concentration, where cracks will destabilize the
It is well known, but rarely admitted, that earthen materials
earthen material structurally.
tend to deform plastically, with time and over long periods.
This is known as creep, and the general term, in engineering
Conclusions
studies, is settling. Conceptually, the compaction of earthen
This discussion has offered only a brief outline of the prob-
materials occurs in two steps, one of primary and another of
lems and the knowledge of the compaction and drying pro-
secondary compaction. The time lag between the two pro-
cesses used to produce the elements of earthen structures.
cesses is assumed to be that necessary for the water of the
In one processadobedrying is the means of forming
sample to escape. Samples with a low permeability will com-
stable, dense, coherent materials that resist crushing. The
pact more slowly than those with a high permeability. Hence,
internal coherence is due to the approach of clay surfaces
the curves of compaction as a function of pressure are not
during the drying process. The second methodrammed
constant but are, instead, a function of time, even though
earthuses a mechanical force that compacts the clay par-
they are represented as absolute values in engineering reports
ticles to form internal cohesion. In this process, plastic
and studies in soil deformation. As the time of compaction is
deformation during the compression stage is assured by the
increased, the curves tend to shift to higher compaction
presence of a slight water content, so that no dried particles
for the same pressures. These curves should converge at
form, and clays slide over one another to form the most
very high pressures, as matter is not infinitely condensable.
compact state.
In theory, the ultimate compaction would be near the abso-
Certainly the two different methods of forming earthen
lute density of a given material. For clays and quartz, this
materials into building elements require differences in the
is near 2.5.
initial constituents. The limits and optima of natural
Observations by Feda (1992) indicate that such step-
earthen materials, especially in relation to their grain size
wise compaction of clay-rich materials can continue for up
distribution, are not known with precision. From the per-
to three years in laboratory experiments. Crawford and
spective of conservation, it is necessary to understand how a
Morisson (1996) have observed settling (creep, or plastic
system works in order to correct it or intervene in it. The
flow) in basement materials of the Frazer River delta in Can-
fundamental question that persists is: why do clays stick
ada that has continued for thirty years. Thus, the manner of
together? Sand grains tend to fall apart on drying, but clays
deformation of clay-rich materials can be one of very slow,
become harder and harder in a dry condition. What makes
but continuous, plastic behavior. The higher the proportion
clays so hard? Some theories indicate that it is by electro-
of clays in a soil or earth, the stronger the tendency to flow
static attraction. However, some clays remain stuck together
or have a plastic behavior and to show features of settling.
and others are easily unbound when rehumidified. An
answer to this fundamental question of why clays stick
Wetting and Drying together will lead to an essential understanding of earthen
Another aspect, and probably of highest importance, is the building materials, their formation, and their performance.
effect of changing the humidity of an earthen structure. If
the values of water content for Proctor (dynamic) formation References
are precise, what happens as the material dries or is subse- Austin, George S. 1990. Adobe and related building materials
quently wetted? One has to consider not only the ideal or in New Mexico, USA. In 6th International Conference on the
20 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
Conservation of Earthen Architecture: Adobe 90 Preprints: Las
Cruces, New Mexico, U.S.A., October 1419, 1990, ed. Kirsten
Grimstad, 41723. Los Angeles: Getty Conservation Institute.
Coffman, Richard, Neville Agnew, George Austin, and Eric
Doehne. 1990. Adobe mineralogy: Characterization of adobes
from around the world. In 6th International Conference on the
Conservation of Earthen Architecture: Adobe 90 Preprints: Las
Cruces, New Mexico, U.S.A., October 1419, 1990, ed. Kirsten
Grimstad, 42429. Los Angeles: Getty Conservation Institute.
Craig, R. F. 1992. Soil Mechanics, 5th ed. London: Chapman and
Hall; New York: Van Nostrand Reinhold.
Crawford, C. B., and K. I. Morrison. 1996. Case histories
illustrate the importance of secondary-type consolidation
settlements in the Fraser River delta. Canadian Geotechnical
Journal 33 (6): 86678.
Feda, Jaroslav. 1992. Creep of Soils and Related Phenomena.
Developments in Geotechnical Engineering, no. 68. Amster-
dam: Elsevier.
Horn, Rainer, J. J. H. van den Akker, Johan Arvidsson, and
International Union of Soil Sciences. 2000. Subsoil Compaction:
Distribution, Processes and Consequences. Advances in
Geoecology, vol. 32. Reiskirchen, Germany: Catena Verlag.
Houben, Hugo, and Hubert Guillaud. 1994. Earth Construction:
A Comprehensive Guide. London: Intermediate Technology
Publications.
Jerome, Pamela Stackley. 1993. Analysis of Bronze Age
mudbricks from Palaikastro, Crete. In Terra 93: 7a Conferncia
Internacional sobre o Estudo e Conservao da Arquitectura de
Terra: Silves, Portugal, 24 a 29 de Outubro, 1993; 7th Interna-
tional Conference on the Study and Conservation of Earthen
Architecture: Silves, Portugal, 2429 October, 1993; 7me
confrence internationale pour ltude et la conservation de
larchitecture de terre: Silves, Portugal, 24 au 29 octobre, 1993,
ed. Margarida Alada, 38186. Lisbon: Direco Geral dos
Edifcios e Monumentos Nacionais.
Marshall, T. J., J. W. Holmes, and C. W. Rose. 1996. Soil Physics,
3rd ed. Cambridge: Cambridge University Press.
Miller, T. A. H. 1934. Adobe or Sun-Dried Brick for Farm
Buildings. Farmers Bulletin, no. 1720. Washington, DC: U.S.
Department of Agriculture.
Orazi, Roberto. 1995. Mud-brick architecture in Sardinia. In
Ceramics in Architecture: Proceedings of the International
Symposium on Ceramics in Architecture of the 8th CIMTEC-
World Ceramics Congress and Forum on New Materials,
Florence, Italy, June 28July 1, 1994, ed. P. Vincenzini, 21929.
Monographs in Materials and Society, no. 1. Faenza, Italy:
Techna.
Pillai, U. P., and D. McGarry. 1999. Structure repair of a
compacted vertisol with wet-dry cycles and crops. Soil Science
Society of America Journal 63 (1): 20110.
Prost, R., T. Koutit, A. Benchara, and E. Huard. 1998. State and
location of water adsorbed on clay minerals: Consequences of
the hydration and swelling-shrinkage phenomena. Clays and
Clay Minerals 46 (2): 11731.
Ranocchiai, Giovanna, Fabio F. Fratini, and Carlo Manganelli
del F. 1995. Earthen building in Tuscany: Characterization of
the material used in buildings of the High Valdarno. In
Ceramics in Architecture: Proceedings of the International
Symposium on Ceramics in Architecture of the 8th CIMTEC-
World Ceramics Congress and Forum on New Materials,
Florence, Italy, June 28July 1, 1994, ed. P. Vincenzini, 23946.
Monographs in Materials and Society, no. 1. Faenza, Italy:
Techna.
Characterization of Earthen Materials
By Hubert Guillaud
Earthen materials, like any other building material, can be
tested so that their behavior and performance can be charac-
terized and better understood. Characterization procedures
for most industrialized construction materials (e.g., stone,
brick, wood, concrete, steel, etc.) are well established and
standardized; this is not yet the case for earthen building
materials, despite notable progress in the last decade.
Developments in sustainable, or green, architecture,
technologically appropriate construction, and low-cost
housing, among others, have aided progress in the realm
of new earthen construction. In contemporary building,
characterization techniques assist in the attainment of a cer-
tain level of building performance or behavior through the
selection and composition of materials. However, charac
terization procedures in the field of contemporary earth
construction are not, in many cases, directly applicable to
the conservation of earthen archaeological sites and historic
structures. In conservation, the purposes and methods of
characterization are more diverse, because conservation
involves both existing and newly composed materials.
Characterization aids in the development of new earthen
materials used for conservation efforts (e.g., renders, repair
mortars, replacement adobes, capping, etc.), so as to both
optimize performance and achieve compatibility with exist-
ing materials. Characterization of existing materials can also
offer insight into how and why they have changed over time,
how they behave and will behave in the future, and how best
to treat them. Although many characterization procedures
for new earthen construction have informed preservation
and repair efforts to date, methods have not been sufficiently
adapted for the purposes of conservation.
Properties of Earthen Materials
Characterization involves testing the properties of materi-
als that influence their behavior and performance in con-
struction applications. In new earthen construction, the
literature identifies the following properties and character-
istics as significant to performance:
particle size distribution
plasticity (workability and water content)
cohesion
compactability
shrinkage
porosity, permeability, and capillarity (void indices)
erosion resistance
chemistry
mineralogy
classification
However, little research has been undertaken to deter-
mine the correlation of the above properties to performance
in conservation applications; nor has there been significant
investigation of additional properties that influence behav-
ior as part of conservation interventions. In discussing the
compatibility of restoration techniques with old materials,
Peroni and colleagues (Peroni et al. 1982) note the impor-
tance of compressive strength, thermal expansion coeffi-
cients, porosity values (void size and distribution), soluble
salts content, permeability to water vapor, and extraction of
alkaline material. R. Hartzler (1996) gives a description
of the main properties of earthen mortars and suggests pro-
cedures for characterizing them that are derived from
ASTM standards for cement mortars. The limited literature
suggests that, in addition to the aforementioned properties
related to new earthen materials, the following may be rele-
vant to conservation applications:
compressive strength
bending strength
shear strength
hardness
adherence (especially for renders)
21
22 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
expansion and contraction coefficients (freezing and
thawing, thermal)
While these indications of properties provide helpful
guidance, the body of literatureor the lack thereofsug-
gests that no systematic research has been undertaken to
identify those properties most germane to the development
of earth-based conservation materials and interventions, or
to elucidate how they are relevant from a performance-based
perspective. Thus, conservation of earthen architecture often
involves cobbling together insufficient information from
new construction research and empirical testing in the field,
in order to plan and design interventions.
Field and Laboratory Analyses
The characterization tests for earthen building materials
most commonly referred to in the technical and scientific
literature are mainly derived from geochemistry; earth-
works engineering (e.g., road building); and research related
to porous materials, mortars, and concrete. Testing gener-
ally falls into two categories:
Field analyses: These are tests carried out in the field,
mainly in the form of macroscopic observations and
simple, quick manual tests that use easily accessible and
inexpensive equipment. They allow one to assess and to
predetermine certain properties and characteristics of
the material.
Laboratory analyses: These are tests carried out in a
laboratory with microscopy and other means, often
complementing field analyses when confirmation or
additional information is needed.
The literature covering the field of earthen construc-
tion fairly systematically refers to the use of field analyses
for characterization when new building materials are pre-
pared. By contrast, the literature addressing architectural
conservation refers primarily to the use of laboratory anal-
yses. This dichotomy may reflect the different attitudes
of the community of professionals dealing with new
earthen building versus those dealing with conservation
of earthen heritage, or it may be indicative of the resources
available to each. Regardless of the cause, there is a funda-
mental need to foster dialogue between these communities,
as well as to improve the practical correlation between field
and laboratory analyses.
The following discussion explores the existing field and
laboratory analyses associated with the aforementioned
properties, in an effort to outline the procedures currently
being applied in research and practice and to explore their
bearing on the understanding and preparation of earthen
materials.
Particle Size Distribution
Particle size distribution, also referred to as texture, is
defined by the various fractions of particles (in nature and
quantity) making up the soil. Particle sizes, going from the
finest to the coarsest, are as follow: clays, silts, fine sands,
coarse sands, gravel, and stones. Most authors note the
importance of particle size distribution in material perfor-
mance and refer to several procedures for characterizing
this property.
H. Houben and H. Guillaud (1984) discuss the follow-
ing preliminary field analyses to identify particle size:
visual examination of the rough texture of a soil in a dry
state, taking the fine fraction after removing its coarser
elements (stones, gravel, and coarse sand);
testing by grinding the soil between the teeth, which
allows one to assess the main particle size component in
sands, silts, or clays;
the touch testrubbing the soil between the fingers and
the palm of the hand, which also allows one to assess the
main particle size component;
the wash test, which, depending on how hard it is to
rinse the soil off ones hands, suggests the main particle
size component;
the simplified sedimentation test, in which a mix of soil
and water is shaken and decanted in a flat-based
cylindrical jar, giving an indication of the quantity of the
various particle size proportions deposited.
In the laboratory, quantitative particle size analysis by
sieving, which includes measuring the rate of sedimen-
tation to identify fine fractions of < 0.08 mm, is most
commonly mentioned in the literature and is fairly system-
atically used in practice. There are very comprehensive
descriptions of the procedure in H. Houben and H. Guil-
laud (1984) and in J. M. Teutonico (1988). L. Dassler (1990)
notes the advantage of carrying out qualitative sedimen-
tation analysis using the procedure established by J. Ashurst
and N. Ashurst (1988). R. Hartzler (1996) refers to particle
size distribution analysis by sieving, in accordance with
ASTM standard D422 (American Society for Testing and
Materials 2002) and recommends the addition of a dispers-
ing agent, sodium metaphosphate, to the clay fraction, for
the particle size analysis carried out in a solution of deion-

ized water. He also suggests that this particle size analysis
should be complemented by a description of the soil parti-
cles, notably of the > 0.075 mm fraction, by examining it
under a stereoscopic microscope under a source of halogen
lighting produced by fiber optics. This analysis enables one
to determine the roundness and the spheroidicity of the
particles, their color, and the presence of organic matter.
Although basic particle size analysis by sieving is rela-
tively simple to carry out and requires minimal laboratory
equipment, analyzing the proportion of fines by sedimen-
tation is a long process, since it can take nearly forty-eight
hours. Several researchers have therefore attempted to
develop simplified procedures, essentially to gain time,
while also aiming to reduce the laboratory equipment
needed and above all to reduce the costs of the analysis.
A. Mesbah and M. Olivier (1990) suggest a simplified
rapid particle size/sedimentation analysis. This analysis
uses the Archimedes principle of displacement to deter-
mine the dry mass of the various particle size proportions
of the material. The material is introduced into a graduated
test tube immersed in a flotation basin. By simply noting
the levels of water inside and outside the test tube, the level
of displaced water, which corresponds to the volume of the
material, can be calculated. The weight of the material is
obtained by multiplying the volume by the dry density of
the particles of the material. This procedure avoids the use
of scales and of an oven to dry the wet material and consid-
erably reduces the time required for classic quantitative
particle size distribution.
Recent developments in analytical techniques now
allow one to characterize texture and determine particle
size distributions using laser techniques. The literature
makes only a few references to this, notably in a report by
H. Houben (1997) on the Desert Development and Training
Building of Sadat City, Egypt. The procedure utilizes a light-
scattering (LS) laser particle size instrument that allows for
very rapid (65 sec.) analysis of quantitative grain size distri-
bution, giving very precise information on the volume of
the particles across a gradation from 0.04 m to 2000 m.
This laser analysis allows accurate measurement of the
diameters of sensitive particles, corresponding notably to
active fines, and also of sandy structuring fractions. Though
effective, the procedure requires a well-equipped laboratory
and is not commonly used.
With regard to particle size analysis, the literature
makes a number of references to the issue of interpretation.
A. Demehati (1990), of the Moroccan Laboratoire Public
Characterization of Earthen Materials 23
dEssais et dEtudes (LPEE) of the Centre de Ralisation de
la Recherche (CRR), suggests a simplified interpretation of
the particle size distribution curve by knowing the percent-
age values by weight of certain fractions of particles. In the
authors view, the percentage of elements of > 2 mm and
that of elements of < 80 m allow the overall texture of
the soil to be assessed. In addition, P. Poupet and C. A. de
Chazelles (1989), referring to analyses carried out on the
archaeological site of Lattes, France, suggest that interpreta-
tion of classic, cumulative particle size distribution curves
should be complemented by interpretation of cumulative
semilogarithmic curves using the Rivire method, which
requires the use of equivalent diameters of particles and of
reduced percentages. Equivalent diameters correspond to
the transformation of real diameters obtained by sieving.
Reduced diameters take into account the limits of the par-
ticle size distribution spectrum in addition to the fine frac-
tion actually measured. In application of the classic method,
the parameters or indicators of particle size distribution
changes serve as a basis for interpretation, but they also
characterize the particle size distribution curve as a whole
rather than for particular points, such as particles (or
numeric particle size distribution indicators). An XM aver-
age characterizes the average coarseness of the sediments.
The medium logarithmic differential, MLGD, allows one to
specify the degree of change in the sediments depending on
where they are deposited upstream and downstream in
watercourses. The absolute logarithmic differential, ALGD,
compared to the MLGD, depending on the size of the differ-
ential recorded, enables the multimodal nature of the distri-
bution of sediments to be specified. Two purely numeric
parameters, 11 and 12, characterize the distribution inde-
pendently of its actual range. A particle size distribution
indicator of N also allows the degree of change of sediments
from upstream to downstream in watercourses to be charac
terized, and this complements the MLGD reading. Thus,
taken as a whole, these particle size distribution indicators
enable the origin of the materials, how they were carried
and deposited, how they have changed or been trans-
formedin short, their historyto be specified.
Plasticity
Plasticity relates to the behavioral properties of soil in the
presence of water. This property is difficult to assess through
field analyses, though the following tests are utilized:
the consistency, or string, test, which consists of rolling a
ball of fine soil into a thin string, which should start to
24 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
break up at = 3 mm. A procedure of reshaping the
material into a ball and crushing between the finger and
thumb allows one to estimate the clay or the sand-silt
fraction;
the cohesion, or cigar, test, which consists of making a
cigar-shaped roll of soil ( = 12 mm) and estimating its
clay content by the length at which the cigar breaks when
it is rested on the palm of the hand and gentle pressure is
applied. This test is akin to the ribbon test, in which the
cigar is flattened between the thumb and forefinger, and
the length of the ribbon is similarly measured at
breaking point.
In the laboratory, the primary tests for characterizing
plasticity are methylene blue analysis and, more popularly,
the Atterberg limits, which include the liquid limit, or LL;
the plastic limit, or PL; the shrinkage limit, or SL; and the
plasticity index, or PI. The Atterberg limits, devised by a
Swedish scientist of the same name, are commonly cited in
the literature. H. Houben and H. Guillaud (1984) and
J. M. Teutonico (1988) provide a detailed description of the
testing procedures. Many authors, including L. Dassler
(1990), A. Demehati (1990), P. S. Jerome (1991), and
R. Hartzler (1996), note plasticity analysis using the Atter-
berg limits as vital to earthen material characterization, and
they often reference applicable ASTM standards. Of partic-
ular relevance is the relationship among the indicative lim-
its of the Atterberg procedure. The correlation of the liquid
limit (LL) and plastic limit (PL) values enables one to spec-
ify the value of the plasticity index (PI) and hence predict
the potential deformation of the material (the higher the PL,
the more the soil will swell when wet and shrink when dry).
Comparison of the PL to the LL can provide the following
information about plasticity and associated properties of
earthen materials:
identification of the kind of soil present, by reference to
the common geochemical classificationsthe French
Ponts et Chausses (P and CH) classification and the
United States unified soil classification system (USCS).
specification of the degree of cohesion of the soil by
characterizing it in one of the following four categories:
very highly cohesive, highly cohesive, moderately
cohesive, and slightly cohesive.
Likewise, correlation of the PL and the quantity of clay
fines (by percentage) provides additional insight into mate-
rial behavior, including:
an indication of the degree of activity of the clays of
< 2 m, with the results categorized as very active,
active, moderately active, or inactive;
as discussed by H. Houben and H. Guillaud (1984) and
A. Demehati (1990)regarding the relationship between
PL and the percentage of fines of < 2 m
identification of a value of activity coefficient (AC),
enabling one then to refer to the values established by
Skempton to determine the activity of a soil (for a
slightly active soil, a value of AC 0.75; for a normally
active soil, a value of between AC 0.75 and AC 1.25;
for an active soil, a value of AC 1.25; and for a very
active soil, a value of AC > 2);
an indication of the expansion properties of the fine frac-
tion ( < 0.4 mm), categorized as very high, high,
moderate, or low.
Other authors, though few, equally note the advantage
of specifying the methylene blue stain value. They refer
principally to the French NFP 18 592 standard (Association
Franaise de Normalisation 1990). This is referred to in
A. Mesbah and M. Olivier (1990), in A. Demehati (1990),
and in H. Houben (1997). The methylene blue value is an
identification parameter, providing an overall measurement
of the quantity and the activity of the soil fraction contained
in a sand by comparing the blue value to the total specific
area of the clays. It measures the capacity of the fines in sus-
pension in water to adsorb methylene blue in successive
doses, with samples placed on a filter paper until a persis-
tent stain with a halo of blue is obtained. In addition to
enabling one to assess the activity of the clays, the blue value
also allows one to identify certain harmful characteristics,
such as water absorption, cohesion, and swelling.
Cohesion
Cohesion refers to the capacity of particles to bind together
and the bending strength of the coarse fraction ( < 2 mm).
In the field, cohesion can be relatively well estimated using
the following tests:
the dry compressive strength test, in which pressure is
applied to a ball of dry soil, which is then broken and
crumbled by hand to assess, depending on how easily it
breaks, the proportion and the purity of the clays, or to
assess if they are silty or sandy in nature;
the cohesion, or cigar, test (as discussed above).
In the laboratory, the main tests used for evaluating
cohesion properties are the wet bending test or the 8 test

perfected by the German scientist Niemeyer in 1944 and
included in the German DIN standards in 1956. Although it
is cited in the literature by H. Houben and H. Guillaud
(1984; 1989; 1994, 62), this test is seldom used in practice.
Compactibility
Compactibility refers to the point at which the material
reaches its maximum dry density, or so-called optimum
water content, or OWC, under conditions of compaction.
This property also provides information about the porosity
and the permeability of the soil. The field tests allowing one
to gauge compactibility are highly empirical and consist
mainly of compacting the ground or of compacting the soil
in molds to make blocks. The use of a pocket penetrometer
then provides a rough indication of this property by giving
an approximate value of the density of the soil. In the labora-
tory, the property of compactibility is measured mainly by
the standard or modified Proctor test, a geochemical test
referenced by the American Association of State Highway
Officials. Though the testing procedures exists, the literature
suggests that analysis of this property has minimal impor-
tance for the understanding or prediction of the behavior of
earthen materials (Houben and Guillaud 1994, 6061).
Shrinkage
Shrinkage refers to the property of the soil to change in vol-
ume in the presence of water. In the field, shrinkage is eval-
uated by using molds to form disks of fine soil ( < 0.4 mm),
then measuring the reduction in the diameter of the disk
compared to that of the mold. This procedure provides a
preliminary indication of the quantity of clays present and
of how active they are. In the laboratory, the linear shrink-
age test designed by Alcock is employed, and it is commonly
cited in the literature (Houben and Guillaud 1994, 49).
Though shrinkage is an important property that signif-
icantly influences the behavior of earthen building materi-
als, few authors discuss the characterization of shrinkage in
their analyses. R. Hartzler (1996) advocates linear and volu-
metric shrinkage testing, in accordance with ASTM stan-
dard D4943 (American Society for Testing and Materials
1995), with a view toward predetermining the presence of
unstable clays (such as montmorillonites, smectites, and
bentonites). In addition, A. Demehati (1990) suggests that a
relative shrinkage (RS) value should be taken into account.
The RS is obtained from the interaction of several parame-
tersi.e., the product of the difference between the liquid
limit (LL) and the shrinkage limit (SL), multiplied by the
Characterization of Earthen Materials 25
product of the apparent bulk density (d) divided by the
density of water (W). The result of this equation, in per-
centages, gives the measure of this relative shrinkage; thus,
for RS 70%, soils that shrink a great deal; for 50% RS
70%, soils that shrink moderately; and for RS < 50%, soils
that shrink very little.
Porosity, Permeability, and Capillarity
The properties of porosity and capillarity of the material
are of particular significance with regard to conservation
of earthen architecture, as they are often indicative of the
materials susceptibility to degradation. Though most anal-
yses of these properties are carried out in the laboratory,
A. Hakimi and A. Acharhabi (1987) of the LPEE of Casa-
blanca, Morocco, present a field test for permeability that
assesses the possibility of rainwater infiltration through a
wall. The test does not require a great deal of equipment, is
easy to carry out in situ, and lasts only half an hour for each
location on the walls tested. It consists of using a permea-
bility box or chamber, i.e., a rectangular box applied to
the wall enabling a surface of water penetration measuring
16 x 34 cm to be isolated. The edge of the chamber is made
watertight either by a rubber band or a strip of mastic. The
chamber is held against the wall by a metal knee brace.
Once in place, the chamber is filled with water through a
hole in its upper side. When the chamber is full, the water
level is kept constant through the use of a graduated Mar-
riott tube, the flow from which compensates for the amount
of water percolating through the wall. The amount absorbed
by the wall under an average constant load of 15 cm can
therefore be measured, taking the surface of water loss as a
reference. The test can be of interest for the most exposed
parts of earth walls, either the base of the walls, which can
be exposed to splash back, or the facades most directly
exposed to rain. It is probably of less interest in other situa-
tions (normal walls and less exposed facades).
With regard to laboratory analyses, P. S. Jerome (1991)
refers to a method for calculating the ratio of voids to the solid
part of the material, using quantitative stereometry. She also
mentions the advantage of carrying out a microscopic exami-
nation in reflected light to ascertain the dimensions and the
distribution of cracks, pores, and voids more accurately, and
thus to specify, by calculating a void index, the porosity of the
material. This examination is equally applied to the detection
of the presence of salts, which can cause a process of crystal-
lization and expansion in these cavities. S. Skibinski (1991),
with regard to tests carried out on adobes of the Peruvian site
26 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
of Cahuachi, notes the interaction between measures of spe-
cific gravity (g/m) and of gravimetric absorbability (%) to
determine the open porosity of the volume (%) and the speed
of capillary rise (cm/min.).
M. Dayre and E. Kenmogne (1993) consider the influ-
ence of soil structure on humidity transfer or, more pre-
cisely, on the influence of the particle size distribution of
soils on water migration processes within compacted earth
blocks. They suggest that this link should be studied by
gamma ray spectrometric analysis.1 The results obtained,
shown in the form of hydric profiles (curves showing the
change in water content over time) allow one to determine
the values of hydric diffusivity through the material tested.
Dayre and Kenmogne consider that of the structural
parameters likely to be paramount in transfers of moisture,
porosity, the porosity value (void index) and the specific
area play a major part. They suggest using gammametric
analysis in connection with measures of porosity and per-
meability and hypothesize that the observation of high lev-
els of diffusivity can be explained by the presence of a small
proportion of small pores, which are the source of capillary
rise. In the opposite case, low levels of diffusivity can be
linked to a strong specific area slowing transfers and reduc-
ing permeability. S. Skibinski (1991) also mentions a study
of the transfer of phreatic water by capillary forces at the
base of adobe walls, based on VHS multispectral image
analysis, using a computer. This method was devised by the
Institute of Research and of Conservation of Monumental
Assets of the Nicholas Copernicus University in Poland.
The visual spectra of the wall are analyzed on red and blue
monochromatic scales. Changes in the temperature of the
surface of the wall are shown in variations of red. Differ-
ences in the physical properties of the material are described
by variations in the color blue. These analyses prove the
presence of capillary water in the base of adobe walls.
1
This consists of analyzing the effects of gradual humidification
resulting from capillary rise in a block, the base of which remains in
water. By vertically displacing the source-detector unit, the gamma-
metric plate enables one to monitor changes in the volume water
content at different levels of the height of the sample. The dry block
should be first scanned before wetting, and then successively scanned
until the constant water content value is obtained. The volume water
content relates the volume of water to the total volume of the sample
containing it. The mass water content w is linked to the specific gravity
of the material by the expression = w dd, in which dd is the specific
gravity of the dry sample.
Resistance to Erosion
Analyzing a materials resistance to weather-based erosion
consists of exposing the material to artificial rain, simulated
in the form of a constant pressure perpendicular to the sur-
face, controlled by a manometer, for a specific time cycle. Per
ASTM standards, the average depth of the largest holes
observed on the material provides an indication of its erosive
properties. This test is generally considered to be very tough,
and most traditional and historic earthen materialswhich
have not been stabilized or consolidateddo not hold up to
it. Practitioners have thus been obliged to modify or adapt
the standardized procedure. In Australia, L. M. Schneider
from the Chatswood National Building Technology Centre
has adapted the ASTM standardized procedure by recom-
mending spraying at a constant pressure of 50 kPa for one
hour (Middleton and Schneider 1987). The maximum depth
of erosion permissible is 10 mm. R. Andrews (1990) has
focused on implementing a simplified, field erosion test with
the Deakin University of the State of Victoria. This test con-
sists of exposing an adobe block placed at an angle (of
3045) to a constant drip for half an hour, 1 L of water
dripping from a height of 40 cm above the block. Resistance
to erosion is considered to be good between 3 and 5 mm and
satisfactory between 5 and 8 mm.
Chemistry
The chemical activity of a soil can be roughly assessed in the
field using a smell test, which essentially indicates a pres-
ence of organic matter, or, more effectively, it can be assessed
with a pH measurement. In addition to simplified measures
using pH paper or other calibrated kits, S. Skibinski (1991)
details a more elaborate laboratory procedure, applying Pol-
ish standards. This consists of using ground-up samples of
material in order to obtain a grain size < 0.104 mm. This
material is then dried at a temperature of 60C, and the
analysis is made on extracts to which distilled water is added
in quantities of 10 cm/g. The samples are then mechanically
shaken for one hour and filtered twice per decantation using
a 100 cm pipette. These watery extracts are then measured
with a pH meter.
Additional laboratory tests using calibrated reactive
products allows the chemical components of the soil, and
particularly salts, to be identified, which are critical to an
understanding of behavior and material performance.
L. Dassler (1990) and R. Coffman and colleagues (Coffman
et al. 1990) suggest that it is possible to determine the rela-
tive quantity of organic components in the soil using a com-

bustion test. This test results in a loss of weight of the sample
exposed to fire, resulting from evaporation of the incorpo-
rated water or the destruction of the incorporated organic
matter, as well as from the volatile gases contained in the
nonorganic matter (CO2). Another means of detecting
the presence of organic matter is detailed by H. Houben and
H. Guillaud (1984; 1994), who use a standard test accepted
by the ASTM and the British Standards Institution (BSI).
This consists of shaking a mix of soil and of sodium hydrox-
ide solution and comparing the color obtained with a stan-
dard solution of tannic acid. The same authors also refer to a
test for detecting humus using a preparation of soda solu-
tion (NaOH) or of potassium (KOH), in quantities of 300 to
400 ml diluted at 3%, to which is added a small quantity of
crumbled dry earth (50100 g). The mix is shaken vigor-
ously, left to stand for twenty-four hours, and then observed.
The color of the solution floating on the surface indicates
the presence of humus. Also to be noted, C. S. Silver (1990)
refers to analyzing the organic environment by applying
histochemical colorants, notably to determine the presence
of carbon hydrates, collagen proteins, and lipids.
In addition to analyzing organic matter, a few authors
refer to detecting the presence of fibers in the material, in
adobe blocks, or in earth-based renders. These consist of
microscopic analyses of material samples carried out in
polarized light and complemented by macroscopic and
microscopic analyses of sections of samples (Dassler 1990),
or microscopic examination in reflected light enabling one
to detect the presence of straw or of its negative imprint after
decomposition (Jerome 1991). In addition, J. rmek and
L. Losos (1990) refer to the complementary nature of differ-
ential thermal analysis (DTA) and of thermogravimetry
(TG), which, in addition to the mineralogical aspect, can
also reveal the presence of organic matter. By monitoring
the behavior of samples as the temperature is progressively
raised (from 100C to 900C in the case referred to), it is
possible to detect exothermic peaks, indicating the pres-
ence of organic matter such as chopped straw, animal hair,
and humic components.
The presence of carbonates and soluble salts is undoubt-
edly the chemical property most cited by the majority of
authors. P. S. Jerome (1991) refers to measuring calcium car-
bonate (CaCO3) by carrying out analytical coulometric tests,
applying the principle that calcium carbonate absorbs hydro-
chloric acid. This principle is also referred to by R. Hartzler
(1996) with regard to analyzing soils in the southwest region
of the USA, which are often rich in calcite, caliche, or cal-
Characterization of Earthen Materials 27
cium carbonate, or in dolomite, CaMg(CO3)2. The procedure
is similar and is carried out with a solution of HCl diluted at
15%, which digests the soluble and acid fraction of carbon-
ates. Other authors refer to the risk in manipulating such
products and suggest less concentrated solutions (5%).
Regarding the analysis of salts, the literature refers
mainly to carrying out microchemical tests, as cited by
L. Dassler (1990), P. S. Jerome (1991) or R. Hartzler (1996).
The material is tested with calibrated chemical products
corresponding to precise types of chemical components:
soluble salts, acid salts, and alkaline salts. R. Hartzler
(1996) details a qualitative analysis of soluble salts that con-
sists of immersing a sample of known mass in deionised
water for three hours. The preparation is then filtered before
being subjected to microchemical tests aimed at detecting
the presence of soluble salts, among which the most active
are chloride anions, sulfates, phosphates, and nitrates.
H. Houben and H. Guillaud (1984; 1994) suggest a test for
detecting chlorides and sulfates, by observing precipita-
tions based on solutions of barium chloride (BaCl) for sul-
fates, or based on silver nitrate (NO3) for chlorides.
P. S. Jerome (1991) provides further information on the
types of reactive products that should be used in order to
obtain the specific reactions of colored precipitation: for
chlorides, a reactive agent made up of 3 M of nitric acid and
0.5 M of silver nitrate; for sulfates, 3 M of hydrochloric acid
to which is added 0.3 M of barium nitrate solution; for
nitrates, a solution of dyphenylamin in sulfuric acid; and
for phosphates, 6 M of nitric acid with ammonium molyb-
date. The author highlights the importance of detecting
nitratessalts that are highly water absorbent and very
apparent in evaporation-crystallization cycles and therefore
particularly active in the degradation of the material. This
process results from the migration of salts by capillarity, fol-
lowed by crystallization in the voids (pores and channels) of
the material, and by swelling as a result of evaporation. Such
evaporation triggers tensile stresses, deteriorating the mate-
rial. While noting that quantitative analysis of salts is more
difficult to carry out on small, often not homogenous quan-
tities of material, which may not be very representative of
the more global nature of the material, P. S. Jerome (1991)
notes that quantitative analysis of nitrates can be under-
taken using EM Quant Test Strips and that of phosphates
using a Hach Test Kit Model PO-24. Quantitative results are
then provided in parts per million.
H. Houben (1997) also refers to analyzing soluble salts
using X fluorescence. This procedure establishes the volume
28 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
by percentage of a large typology of oxides, including
magnesium oxide (MgO), calcium oxide (including free
CaO), or the presence of carbonates, potassium oxide (K 2O),
sodium oxide (Na2O), and also of sulfuric anhydride (SO3 )
or sulfates. Finally, in addition, R. Coffman and colleagues
(Coffman et al. 1990) report on a program of research into
the consolidation and preservation of historic earth struc-
tures conducted at the Getty Conservation Institute. They
describe experiments carried out on samples of adobe blocks
taken from various historic sites (China, Egypt, El Salvador,
Israel), which are compared to adobes recently produced in
New Mexico and California. The object was to detect the
presence of soluble components (calcium and magnesium
carbonates, sulfates) using ethylene diamine tetra acetic acid
(EDTA) analysis, enabling the calcite to be dissolved without
affecting the other components (complexification of the cal-
cium ions). The EDTA analysis is complemented by leaching
experiments. It is presumed that the leached material
includes all the carbonates and salts (sulfates and/or chlo-
rides) but not the silicates or oxides.
Mineralogy
Mineralogical properties are difficult to assess in the field
and require specialized training, but observations of the
geological or pedological character of an environment can
provide important information for further mineralogical
studies. These observations provide vital details about the
profiles of soils and about the nature and composition of
their main strata. Color examination, through the use of a
Munsell chart, also allows one to assess a soils main miner-
alogical features. Several authors (Dassler 1990; Silver 1990;
Hartzler 1996; Jerome 1991) attach great importance to
color examination and refer to the visual-manual proce-
dure for describing and identifying soils in accordance
with the Munsell chart and in application of ASTM stan-
dard D1535-80 (American Society for Testing and Materials
1980). P. S. Jerome (1991) nevertheless suggests that color
examination in natural light should be complemented by an
examination in reflected light with a stereoscopic micro-
scope, coupled to a dionic, fiber optic light source. This
additional examination allows the variations in color to be
more precisely defined, thus refining the mineralogical
identification and providing data on the porosity of the
material.
Though the aforementioned procedures can provide a
fair amount of mineralogical information, laboratory analy
ses provide the most accurate assessment of mineralogical
properties. The literature most often refers to the mineral-
ogical analysis of silts and clay fines using X-ray diffraction
analysis (XRD) or DTA. With regard to mineralogical
analysis by XRD, P. S. Jerome (1991) recommends supple-
menting it by a study of the diffractograms (which can pro-
vide interesting data on other traces of less immediately
identifiable minerals) by observing samples of 30 m using
a petrological microscope, and by carrying out an analysis
of the morphology of the clays using a scanning electronic
microscope (SEM), which complements the energy disper-
sive X-ray analysis (EDXA) in a way that not only allows less
apparent particles to be identified but also allows the com-
position of elements for more specific parts of the material
to be specified. C. S. Silver (1990) also refers to the comple-
mentary aspects of XRD, SEM, and energy dispersive X-ray
spectroscopy (EDS) analyses. In analyzing the properties of
earth renders, mortars, and paints, R. Hartzler (1997),
K. Fiero (1997), F. Matero (1997), L. A. Dix (1997), and
J. Trott (1997) likewise used XRD and SEM analyses, com-
plemented by an EDXA on the Mug House in Mesa Verde,
Colorado. This enabled them to confirm the composition of
the pictorial pigments previously identified by tests based
on reactive chemical products.
With regard to the procedure for XRD analysis,
L. Dassler (1990) further specifies that the samples prepared
should be analyzed in a dry state and in a saturated (with
ethylene glycol) state. The analysis in a saturated state makes
traces of expansive clay minerals, such as smectites, appear
more clearly. S. Skibinski (1991) suggests a sequence of analy-
ses on a preparation of pulverized material, starting with
observation using an optic microscope in normal and polar-
ized light, then using an infrared spectrophotometer, and
finally an XRD apparatus. Two types of samples are tested in
Skibinskis procedure, which is based on a Polish protocol:
samples subjected to spectrophotometric observation and
using diffractograms of so-called oriented preparations (i.e.,
saturated in solutions of magnesium, potassium, and cal-
cium salts, and of glycerin), and samples previously subjected
to a thermal treatment at 550C, to be analyzed using XRD.
J. rmek and L. Losos (1990) note the complementary
nature of DTA and of TG, which provides a measure of
the quantity and types of clay minerals. The spectrum of the
various peaks obtained at different temperatures allows
the clay minerals to be characterized.
With reference to the characterization of old mortars,
work by G. Capannesi and colleagues (Capannesi et al. 1990)
on instrumental neutron activation analysis (INAA) can be

applied. This analysis allows concentrations of elements to
be specified. Subsequently, treating the samples with HCl
separates the soluble calcareous fraction and the insoluble
sandy and pozzolanic fraction. The insoluble fraction is then
subjected to another phase of neutronic activation to specify
the elements of which the render is composed.
Classification
Pedological classifications can provide a great deal of insight
into mineralogical properties. They generally take into
account soil profiles as a whole and provide information on
the ways in which they are formed and change. These clas-
sifications rely essentially on three sets of data:
the degree of change and of differentiation of the soil
profiles
the way in which clays are formed and altered
the basic physicochemical processes from which soil
originates, often linked to organic matter
The simplified presentation of the classification of
P. Duchaufour (Duchaufour, Faivre, and Gury 1976), sug-
gested by Houben and Guillaud (1989, 4647; 1994, 3637),
distinguishes between two main families of soil classification:
Soils with a pedological genesis that is closely linked to
changes in organic matter. They are generally found in
temperate and cold climates.
Soils with a pedological genesis that is fairly independent
of changes in organic matter and is, rather, linked to the
particular behavior of iron oxides and of aluminate.
They are generally found in hot, more or less humid
climates.
Specialized tables show how the various pedological
classifications available correspond to one another, and
pedological atlases provide very comprehensive descrip-
tions of soils by related parameters, such as locality, topog-
raphy, the nature of the parent rock (geology), climate, and
vegetation. They give precise descriptions of the profile
and the morphology of soils according to their various
horizons: the surface A horizon, the structural or altera-
tion B horizon, and the parent material C horizon. These
atlases may also describe the main geochemical and bio-
chemical characteristics by providing data on particle size
distribution and the predominant clay minerals, on the
absorbent complex, and on biochemistry. Finally, they can
also detail the process of evolution of soils.
Characterization of Earthen Materials 29
Geochemical classifications are also very useful in
describing the main properties of soils in relation to their
geochemical designation. Houben and Guillaud (1989,
7677; 1994, 3435) suggest a simplified version of the
French P and CH and the United States USCS classifica-
tions. Soils are designated as coarse grained or fine grained,
depending on the proportion of grain size fractions, the
quantity of small particles, and their liquid limit.
Conclusion
Understanding the characteristics and the properties of
earth as a building material requires us to go through a
range of analyses and tests, in the field and in the laboratory.
No fixed set of tests can be applied universally, as all condi-
tions and contexts are different. Likewise, there is not
enough research examining the properties of earthen mate-
rials and determining which are most important or relevant
to performance in architectural applications. There is con-
siderable agreement in the literature that particle size distri-
bution, plasticity, and mineralogy are of particular import
in characterizing earthen materials, but there is too little
research to determine the relevance or priority of properties
beyond these.
With regard to procedures, there is likewise a fair
amount of agreement regarding laboratory analyses: siev-
ing for particle size distribution, Atterberg analyses for
plasticity, and XRD with supplemental testing to define the
mineralogy of the clay fines. However, there is virtually no
correlation between field and laboratory testing, so as to
clearly identify which field tests can provide basic informa-
tion in lieu of laboratory analyses or to determine how
laboratory protocols might be adapted for field conditions.
This is particularly important when the resources required
for laboratory analyses are not available. Likewise, field
analyses can potentially provide an important basis for
determining which laboratory analyses are necessary or
relevant to a particular situationbut greater correlation
between lab and field are needed to achieve this.
Everything is a question of compromisethe most
efficient compromise possible among the available equip-
ment, skills, and financial resources and within the con-
straints or potentialities of certain contexts. Likewise,
given the nature of earthen architectural heritage, signifi-
cant consideration must be given to the extent to which any
analysis destroys or alters original material. This particular
constraint further underscores the need to be ever more
informed about relevant properties and their associated
30 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
analyses, and it demonstrates the reasons why further
reflection and research are need to understand the links
and adaptations between characterization procedures for
new earth construction and for conservation.
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Recording and Documentation of
Earthen Architecture
By Claudia N. Cancino
Heritage recording and documentation pertain to the meth-
ods by which significant data are collected, interpreted, pre-
sented, and archived in order to facilitate understanding of
the configuration, evolution, condition, and context of heri-
tage sites and objects. Physical recording and documenta-
tion involve scientific data collection over time, and they
serve as a basis for decisions regarding diagnosis, treatment,
and monitoring of a site. As an integral part of the conser-
vation process, they cover all types of materials and sites,
including those built of earth.
In the past three decades, the field of conservation
has advanced methodologies for addressing deterioration
mechanisms for site management and conservation. By
documenting condition as the cumulative result of change
over time or as the result of a direct impact, a conservator
understands the process of deterioration, identifies a suit-
able intervention, and monitors the impact of the
intervention.
The heritage recording and documentation literature
covers a series of publications that vary in scope, from the
documentation of movable objects to the remote sensing of
cultural landscapes, cities, or archaeological complexes.
With the ever-evolving technology in the heritage record-
ing field, a series of international symposia and conferences
has been held in order to collect and disseminate informa-
tion relating to strategies and techniques for protection,
preservation, and interpretation of earthen sites. There are
no techniques exclusively applied to earthen sites, but many
of the techniques developed in the field of recording and
documentation in general can, and should, be applied to
conservation processes related to earthen architecture.
Managing Change through the Use of Documentation
In the body of conservation literature, many authors empha-
size the significance of recording and documentation as
part of a comprehensive planning methodology for heritage
32
management and as a tool for managing change (Pearson
and Sullivan 1995; de la Torre 1997; Clark 2001; Demas
2002; Teutonico and Palumbo 2002). However, only a few
texts deal specifically with the application of such method-
ologies to earthen architecture and archaeological sites.
The topic of site management has had fair discussion in
the proceedings of the international earthen conservation
conferences, held in Lima, Peru, in 1983 (ICCROM, Regional
Project on Cultural Heritage and Development UNDP/
UNESCO, and National Institute of Culture 1985); Rome in
1987 (Rockwell et al. 1988); Las Cruces, New Mexico, USA,
in 1990 (Grimstad 1990); Silves, Portugal, in 1993 (Alada
1993); and Torquay, England, in 2000 (English Heritage,
ICOMOS-UK, and University of Plymouth Centre for
Earthen Architecture 2000). A detailed survey and analysis
(Matero and Cancino 2002) of published proceedings of
these conferences reveals that site management planning
exhibits a slowly rising popularity after 1987. This develop-
ment reflects current changes in conservation thought and
practice.
There have also been some case studies that have
addressed issues of documentation for earthen sites as part
of a planning methodology. In their work on the manage-
ment plan for Chan Chan in Trujillo, Peru, Castellanos and
Hoyle (2000) applied an approach similar to that of Pearson
and Sullivan (1995), Sullivan (1997), and Demas (2002). The
driving force in the plans decision-making process was the
sites cultural significance. The process of defining the sig-
nificance of the site included the documentation of its phys-
ical and historical evolution. The plan incorporated the
recording of the natural and social environments (legal,
administrative, and social surveys), and this was the stron-
gest component of the project.
Meinecke-Berg and Meinecke (1980) presented a
strong case study of recording earthen sites in an urban
context for basic and general planning purposes. Crosby

(1983) presented a maintenance guide for the historic
church of Tumacacori in Arizona, USA. He first presented
a brief program of work and then detailed the use of inspec-
tion forms as a means to document, but not evaluate, the
site. In a project of similar scale, Van Balen (1990) pro-
posed a methodology for the conservation and restoration
of earthen structures. The proposal included the study of
environmental factors and historical values and the evalu-
ation of the architectural typology in a cyclical approach
toward intervention. The proposal suggested that technical
considerations in the conservation of earthen structures
should be embedded in a global assessment to assure appro-
priateness of actions. Castellanos vila (1995) analyzed the
problems regarding the management of earthen sites in
the case of Paquim, in northern Mexico, and concluded
her research by describing problems associated with such
archaeological resources.
Research at Mesa Verde National Park in Colorado,
USA, represents one of the few cases in which the specific
role of documentation and recording was developed and
evaluated as part of a comprehensive conservation plan.
Matero (2003) presented the final results of the nine-year
phased conservation program. The program developed
coordinated methods for the survey, analysis, stabilization,
and interpretation of the masonry and prehistoric surface
finishes in the alcove sites of Mesa Verde. Though primarily
a case study, this article addressed in detail the theoretical
and technical aspects of the condition survey as an impor-
tant vehicle for material and site diagnostics (condition
assessment), which must precede remedial and preventive
interventions.
The problems facing heritage resources are rarely solved
completely, but they can be managed. Such is also true for
earthen sites and structures in general. The factors of dete-
rioration will not necessarily disappear, but they can be con-
trolled. Documentation and heritage recording, within the
framework of integrated planning, are important tools in
this regard. Though the cases mentioned above provide good
insight into how techniques and tools are applied to earthen
heritage, more research is needed to improve methodologies
and to create comparative analyses of experiences.
Types and Levels of Recording and Documentation
Choices regarding type and level of recording and documen-
tation depend primarily on the heritage resource (access,
materials, condition) and the kind of information required.
The following sections explore the literature related to five
Recording and Documentation of Earthen Architecture 33
forms of documentation: inventories and large-scale docu-
mentation projects, historic structure reports, structural
reports, condition assessments, and evaluation and moni-
toring assessments.
Inventories and Large-Scale Documentation Projects
At the beginning of the 1970s, after the development of sev-
eral successful cultural heritage inventories, a series of
international symposia brought together professionals in
the field of preservation in order to discuss the significance
of inventories and the classification systems for cultural
heritage in various regions of the world.
The proceedings of the Seminario Regional de Inven-
tario y Catalogacin (Comisin Nacional de Investigacin
Cientfica y Tecnolgica 1977) discussed the politics and
methodologies of inventories in different countries in Latin
America. The intention of these proceedings was to estab-
lish common and regional objectives and terms. In Europe
in 1977, a meeting of experts on systems of inventorying
cultural property was held in Warsaw (UNESCO 1977),
which identified the need for guidelines to manage and cre-
ate inventories with a common terminology throughout the
world. A follow-up to the Warsaw meeting was held in Paris
in September 1980.1 The following month, the Colloquium
on the Inventories of Cultural Possessions in Europe, held
in Obernai-Bischoffsheim, France, brought together repre-
sentatives of agencies responsible for inventories from a
number of European countries. Its proceedings state that
despite the use of defined vocabulary, inventories are meant
to be used as a tool for planning and conservation. The con-
ference declared that countries could not delineate preser-
vation policies without acknowledging their resources
(Ministre de la culture, Direction du patrimoine, Inven-
taire gnral des monuments et des richesses artistiques de
la France 1984).
Soon after the 1980 Paris meeting, ICOMOS created an
International Committee on Inventories and began to
prepare a manual to analyze and compare the inventory
systems selected in the 1980 conference, with the idea
of presenting a methodological approach for the creation of
heritage inventories. The Manual on Systems of Inventorying
Immovable Cultural Property (Sykes 1984) was published as
part of the UNESCO Museums and Monuments technical
1
M. H. Sykes (1984) and C. Pernaut (1984) reference the September
1980 Paris meeting, though the author has been unable to locate
proceedings or other documentation.
34 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
manuals and attempted to seek common terms, tools, and
methods for identifying, analyzing, and managing cultural
property. The publication described how to do inventories,
but it did not address how the information was to be used.
Along with these international meetings, the develop-
ment of digital technology advanced applications of system-
atic inventories in different countries. Jachimski, Weaver,
and Letellier (1975) were the first to emphasize the funda-
mental need for easy storage, recovery, and comparison of
recorded data. They developed techniques for different types
of survey methods for the Canadian monument recording
system. UNESCO applied and used inventories in order to
define surviving historic fabric and to indicate measures for
future preservation at the historic quarter of Al-Jamalyya in
Cairo (Meinecke-Berg and Meinecke 1980).
A few years later, Ferrari (1984) stressed the risk of
using advanced digital methods of inventory without
considering that inventories are tools for historical and
analytical research. Krzyanowski (1984) mentioned the
importance of an interdisciplinary team for the creation of
inventory systems. Nilsson (1984) explained the situation
of inventories in Sweden and stated that inventories have to
be integrated with the planning of a site. He stressed the
advantages of incorporating other disciplines into the pro-
cess as well.
By the late 1980s, inventories were in much wider use.
Specific to earthen architecture, Bertagnin (1990) proposed
an inventory method for different types of earthen build-
ings in the northeast of Italy, in order to classify different
building pathologies. Degli Espositi (1993) developed a very
simple survey method for earthen buildings in relation to
social organization and patterns of evolution in the western
district of Bologna. Selva (1993) used inventory methods to
find relationships between typology and technology of
earthen buildings located in the agricultural Participation
of Cento within the Emilia-Romagna regional land. Orazi
(1995) used a similar approach in his survey of adobe build-
ings of Sardinia. His studies contributed to the knowledge
of different scales of intervention (land body, building
body, and constructional body). Syrov, Syrov, and K
(2000) designed an inventory and documentation system
for the earthen vernacular architecture of the Dyje Valley
National Park in the Czech Republic. This survey was a pilot
study and a methodological example of how a geographic
information system (GIS) could be used to identify histori-
cal buildings that were neglected by the classic ethnograph-
ical literature.
Some inventories were particularly innovative in their
methodology or approach and incorporated earthen archi-
tecture to varying degrees. In 194042, the Secretara de
Hacienda y Credito Pblico of Mexico undertook the
Catlogo de construcciones religiosas del estado de Hidalgo
(Azcu y Mancera and Fernndez 194042) as one of the
first examples of inventories in Latin America. On the same
scale, the Argentine publication Patrimonio arquitectnico
y urbano de San Carlos de Bariloche presented a series of
recorded historical buildings classified in different typolo-
gies (Lolich 1991; 1995). Larchitecture au Yemen du Nord
presents a survey of numerous building types, their func-
tion, architectural shape, and decoration (Hirschi and
Hirschi 1983). The Architektur der Vergnglichkeit: Lehm-
bauten der Dritten Welt (Wichmann and Adam 1983) dis-
played analyses and documentation on adobe architecture
in Egypt, Mesopotamia, Iran, and Yemen; the Atlas, Sahara,
and Niger regions of Africa; and the pueblos of New Mexico.
Van Aerschot (1994) and the Proyecto de Cooperacin
Tcnica Ecuatoriano-Belga presented an inventory that was
used to inform planning decisions for the preservation of
historic Quito, Ecuador.
With regard to large-scale documentation projects,
which are much akin to inventories, there have been a num-
ber worth noting. Albery, Boccardo, and Span (2002) cre-
ated a GIS for archaeological investigations at the Marchesato
di Saluzzo in Italy. The GIS incorporated and correlated
data that came from a variety of fields, including archaeol-
ogy, geology, botany, history, and anthropology. The objec-
tives were to reconstruct the sites basic construction and to
reveal the dynamics and use of environmental resources
within the complex and articulated society that existed
between the eleventh and fifteenth centuries.
Klbl and colleagues (Klbl et al. 2002) also used the
GIS, but they used it in an urban environment. They pre-
sented an integrated inventory of historic monuments in
the south of Morocco. The system was designed so that
information could be easily recovered. Csaplovics, Herbig,
and Brner (2002) created a chronological series of histori-
cal maps to analyze structures in urban and rural areas and
to analyze changes in natural and cultural heritage sites at
local to regional scales. Case studies for the mainly rural
areas in the region of Lake Neusiedl (Austria and Hungary)
and the town of Torgau, Germany, showed the efficiency of
GIS-based approaches to topographic and chronological
documentation. S. K. McIntosh (1994) presented the only
inventory applied in West Africa. He suggested a radical

redesign of inventory methods to ensure high-quality data
and exchange of information among site managers.
Documentation has also advanced in the field of large-
scale 3-D modeling for complex sites. The objective of histori-
cal virtual reconstructions is to facilitate site interpretation.
Baturayoglu (2002) and Baturayoglu and colleagues (Batura-
yoglu et al. 2002) documented the Iron Age settlement of
Kerkenes Dag, located in central Anatolia. Through the use of
aerial photographs, global positioning system (GPS) topo-
graphical surveys, geophysical surveys, total station, architec-
tural surveys with traditional methods, and photogrammetry,
the team created a 3-D virtual model of the walls.
Despite these exemplary projects, few inventories have
been sustainable over very long periods of time, because of
changing needs, objectives, methodologies, and technology.
Likewise, few efforts have integrated a range of profession-
als and fields of inquiry so as to effectively inform holistic
planning and decision making. Furthermore, their applica-
tion to earthen heritage has not, to date, created an accumu-
lated body of knowledge that has broad applicability to
earthen resources in general.
Historic Structure Reports: Condition Recording and Surveys
A host of manuals and articles have been published regard-
ing ways to record the physical conditions of heritage sites
and ways to design condition surveys and structure
reportsnotably the U.S. National Park Services Cultural
Resources Management Guideline, NPS-28 (U.S. National
Park Service 1985); CRM Bulletin, volume 13, number 4
(U.S. National Park Service 1990); the Protocoles de vrifica-
tion technique des btiments of the Conseil National de
Recherches du Canada (1993); the British Standards Institu-
tions series on measuring buildings (1980); and Swallow,
Watt, and Ashtons text on detailed survey methods (1993).
Specific to earthen architecture, Beas, Navarro Grau,
and Maguia (2000) presented the results of the Historic
Structure Reports of five seventeenth-century earthen
churches in the Oyn Valley in Peru. The architectural sur-
vey explains in detail the state of conservation of the
churches, as well as their statements of significance, as a
base document for future interventions. Hughes (2002) pre-
sented the preferred documentation methods for excavated
vestiges at earthen sites. Matero and colleagues (Matero et
al. 2000) presented new techniques of field and digital
recording for the Casa Grande condition report, in an effort
to design a protocol for condition survey for earthen sites.
The article included a comprehensive glossary, as well as a
Recording and Documentation of Earthen Architecture 35
manual and terminology, in order to improve the display of
relevant information.
Despite the advance of digital technology for informa-
tion management, relatively little research has focused on
the application of the information for preservation inter-
ventions. Bryan (2002) explained the application of close-
range photogrammetry for English Heritage conservation
projects. Traditional survey techniques and photogram-
metry were combined with 3-D laser scanning data for con-
servation projects at the standing stones of Stonehenge, the
Whitby Headland area of North Yorkshire, and others.
Blake (2002) described in detail how the same techniques
applied by English Heritage were used for the documenta-
tion and interventions at the Iron Bridge, a symbol of the
1780s industrial revolution in Britain. Among the published
literature, the application and implications of such evolving
technology to earthen heritage are little mentioned.
Structural Reports: Recording and Monitoring
There has been a series of structural engineering confer-
ences regarding the structural stabilization of earthen
structures. The amount of material published is compre-
hensive, but only a few articles have dealt with historic
buildings and have understood the significance of struc-
tural recording and monitoring as a fundamental piece for
etiological building assessments. From the proceedings, it is
important to point out Stable-Unstable? Structural Consoli-
dation of Ancient Buildings (Lemaire and Van Balen 1988),
as well as the Report of the International Colloquium on Seis-
mic Protection of Historic Buildings and Monuments (Gl-
kan 1995), as two seminal publications that deal with meth-
ods for the structural recording, monitoring, and evaluation
of historical buildings.
In the Lemaire and Van Balen publication, the article
The Use of Precision Electronic Monitoring Systems for
the Analysis and Control of Structures (Potter and Guant
1988) explains the reason for developing systems for the
regular monitoring of movement in historic structures. The
background of the experimental program, which took place
predominantly in St. Pauls Cathedral in London, is given,
along with an explanation of the results obtained and their
possible interpretation. The experiments make it possible
to state the significance of a monitoring plan for structural
recording as part of the management of the site. In the same
publication, Bhr (1988) and Carbonnell (1988) also
explained the use of photogrammetry as a method of
recording geometrical deformation of historical structures.
36 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
Though these are not specific to earthen structures, the
methods are transferable.
Glkans Report of the International Colloquium on
Seismic Protection of Historic Buildings and Monuments
(1995) is based on the papers presented during a colloquium
organized by the Getty Conservation Institute in Quito, and
it includes a section dedicated to seismic hazard assessment
as part of a comprehensive plan for the preservation of his-
toric structures. At the time the colloquium was being pre-
pared, the Getty Conservation Institute started a program
called the Getty Seismic Adobe Project. This project pro-
duced three publications that are extremely important con-
tributions to the field of earthen architectural conservation
at the structural level for buildings located in seismic areas.
The first of these publications (Tolles et al. 1996) had the
primary intention of documenting the damage to historic
adobe buildings caused by the 1994 Northridge earthquake.2
The publication included the structural assessment of historic
fabric affected by the earthquake, focusing on the recording
of existing conditions, such as deterioration or structural
changes that might affect the buildings seismic perfor-
mance. The secondary goal was to analyze the seismic per-
formance of the buildings by assessing the nature of the
damage, its cause and severity, and the effects of preexisting
conditions on the performance. Such information would be
essential to develop an accurate method for estimating the
vulnerability of an earthen structure to seismic events. (For
further discussion of seismic assessments, see Earthen
Structures: Assessing Seismic Damage, Performance, and
Interventions, p. 69.)
Condition Assessments
A condition assessment goes beyond the work of a condition
survey; it attempts to correlate conditions (physical, social,
environmental, etc.), explicate deterioration processes,
establish cause-effect relationships, and identify priority
problems. This diagnostic function of condition assessments
is a vital link in decision making about treatments; unfortu-
nately, it is often lacking in conservation projects, and those
at earthen sites are no exception. That said, some research
regarding earthen heritage has explored this topic with an
eye toward establishing more sound methodologies for
recording, so as to inform diagnosis.
2
Subsequent Getty Seismic Adobe Project publications addressed
seismic interventions and guidelines for seismic retrofitting. See Tolles
et al. 2000 and Tolles, Kimbro, and Ginell 2002.
Crosby (1985) emphasizes the use of visual condition
recording to further the understanding of the processes of
deterioration and to identify treatments. Matero (1995)
rationalizes the use of documentation for diagnosis, stabili-
zation, interpretation, and maintenance of the lime plasters
at Fort Union National Monument, an earthen site in New
Mexico. Bishop and colleagues (Bishop et al. 1999) present
the role of digital technology in the process of condition
assessment of the Siqueiros mural Amrica Tropical in Los
Angeles. Eppich and Piqu (1999) explain the advantages of
using digital recording to make information available dur-
ing the process of monitoring and evaluation.
Hartzler and Oliver (2000) used past condition docu-
mentation to understand and quantify where, how, and why
the adobe structures at Fort Union eroded. Their research
focused on broad site issues of deterioration patterns and
sequence, rather than on narrow concerns of localized dete-
rioration. The condition assessment diagnosed those areas
or fragments of the structure that were particularly vulner-
able to deterioration and identified those parts that were
critical to structural stability, thereby establishing a clear
understanding of conditions in need of priority treatment.
Similar to the research at Fort Union, assessments at
Casa Grande Ruins National Monument in Arizona (Matero
et al. 2000) sought to explain deterioration and predict
future changes using new field, laboratory, and digital
recording techniques. The study was taken a step further
when the data collected were manipulated using GIS soft-
ware, in order to assess and prioritize future areas of treat-
ments (Cancino Borge 2001).
Between 1985 and 1987, the National Park Service
began a comprehensive survey program at Mesa Verde
National Park, Colorado (Bohnert 1990). Initial steps
included reviewing archival materials and thoroughly sur-
veying extant plaster in eighteen cliff dwellings. Matero
(1999) applied the same methodology used at Casa Grande
and Fort Union to the conservation of earthen plasters in a
pilot project at Mug House in Mesa Verde National Park,
where the documentation strategy was designed as a model
for future conservation efforts for alcove sites at Mesa Verde.
Once the Mug House project was established as a model, the
U.S. National Park Service initiated a priority treatment
assessment of architectural finishes in selected excavated
alcove sites. The National Park Service understood the role
of documentation at different phases of the conservation
program, and elaborated documentation strategies were
applied and implemented. The condition assessment was

derived from these surveys, through the use of appropriate
digital technology and information management protocols
(Matero 2003).
Digital technology has also contributed to the develop-
ment of condition assessments by addressing the issues of
site interpretation. Although it was not specifically designed
for earthen structures, Stephani (1992) presented photo-
grammetry as the basic tool for recording. He explained
how the generation of dense digital surfaces could be used
for site condition evaluations through time. Maestri, Can-
ciani, and Spadafora (2002) tested new computer software
oriented to the reconstruction of 3-D models and graphics
through nonmetric photographs that could be applied to
the quantification of conditions of earthen finishes. The use
of archaeological photogrammetry in rupestrian paintings
at the Civil Cave in Castelln, Spain (Lerma 2002), used
nondestructive methods to identify the primitive paintings
and shapes. The procedure of image acquisition and classifi-
cation offers new possibilities for data quantification and
analysis. Finally, Smars, Van Balen, and Nuyts (2002) pre-
sented a computer program that builds 3-D models that are
able to qualify and query data automatically. Information
can be added, organized in themes, or linked to the model.
The resulting database and the softwares visualization
capacities facilitate comparison, synthesis, and decision-
making processes. Though these articles are tool oriented,
they are important because of their impact on the manage-
ment of information at different levels and scales of condi-
tion assessments.
Evaluation and Monitoring Assessments
In the past three decades, evaluation and monitoring have
become essential components of any heritage management
plan. Although evaluation and monitoring are not unique to
the conservation of earthen sites, there have been a number
of case studies applied to earthen constructions. In these case
studies, standards have been designed in cases where docu-
mentation and recording have played an important role.
Regarding the evaluation of treatments, Lewin and
Schwartzbaum (1985) reported the results of the long-term
effectiveness of an ethyl silicatebased consolidant by
comparing treated and untreated mud brick from the five-
thousand-year-old mural paintings at Teleilat Chassul in
Jordan. Chiari (1988) also presented a visual evaluation of
the effects of ethyl silicate on the consolidation of mud brick
from Huaca de la Luna in Peru, using scanning electron
microscopy (SEM). Three years later, Chiari (1990) pre-
Recording and Documentation of Earthen Architecture 37
sented another evaluation case study on his work after
twenty years at Tell Umar in Iraq. Although the articles did
not detail the design of an evaluation protocol for earthen
materials, they described the significance of detailed archi-
val information for evaluation purposes and the importance
of evaluating treatments after they are completed.
Important evaluation research was also undertaken at
Fort Selden, an earthen site in New Mexico, from 1985
to 1992. A field experiment using test walls was designed to
assess certain treatments, so as to inform real-site interven-
tions. Taylor (1988) presented the first report of mud brick
test walls constructed to monitor the erosion rates of vari-
ous amendments to mud plaster, the capillary rise in selected
wall bases, and the impact of precipitation on wall caps.
Agnew, Preusser, and Druzik (1988) presented a methodol-
ogy for field testing, including standards for evaluation.
These mud brick test walls were intended to monitor the
impact of polyisocyanates and silanes as chemical preserva-
tives, permeable aerotextiles for site shelters, geotextiles for
drainage, and the use of composite synthetic fiber geobars
as structural reinforcing elements. Although Taylor (1988)
and Agnew, Preusser, and Druzik (1988) presented their
case studies with the same evaluation purposes as Lewin
and Schwartzbaum (1985) and later Chiari (1988), they
delineated the evaluation protocol at an earlier stage and
therefore collected relevant and measurable information at
different steps of the program.
Years later, Selwitz, Coffman, and Agnew (1990) pre-
sented the results of the chemical preservative treatments,
based on visual evaluation according to a numerical rating
system. Agnew (1990) and Taylor (1990) detailed the protocol
for monitoring the experiments using stereo photographic
recording for the condition of the test walls, thermocouples,
and a sixteen-channel datalogger system for the surface and
interior temperature, as well as calibrated resistivity meter
and preset pins for moisture monitoring.
The Chaco Backfill Research Project, conducted in
Chaco Culture National Historical Park in New Mexico,
USA (Dowdy and Taylor, 1993), is another example of docu-
mentation and recording designed for the purposes of eval-
uation and monitoring. The aim of this project was to assess
the impact of backfilling on architectural featuresnamely,
earthen components (wall and floor rendering and masonry
units), stone, and wood. Selection of the five rooms to be
included in the testing program, which involved removal of
material from prior backfilling, relied heavily upon earlier
notes and photographic documentation. This situation
38 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
highlights the importance of having accurate and appropri-
ate documentation of sites for future appraisal purposes.
Chiari, Burger, and Salazar-Burger (2000) also presented a
case study to evaluate the treatments of an adobe painted
frieze in Cardal, Peru, that involved backfilling in 1988. In
this case, there was no evaluation protocol, and the results
were provided by visual examination.
Fiero, Matero, and Rivera (2000) presented a documen-
tation protocol developed to address the condition assess-
ment of plasters at Mug House in Mesa Verde National Park;
this protocol was also used to evaluate the treatments applied
a year earlier. The detailed graphic condition survey used
vector drawings and allowed the conservator to go back to
the site and quantify variations of different conditions.
Conclusions
Although heritage recording and documentation has devel-
oped into a specialized profession, relatively little research
has focused on earthen structures and their distinctive con-
ditions. Many recording technologies have been transferred
and applied successfully to earth (e.g., wall painting meth-
ods applied to decorated earthen surfaces). However, there
is a need to expand the body of literature related to the
recording and documentation of earthen heritage, so as to
build a basis for comparative study and replicability. In par-
ticular, while many site-specific projects have developed
classifications of conditions, the field would greatly benefit
from efforts to standardize nomenclature regarding earthen
architecture and its forms of deterioration. In addition,
because of the vulnerability of the material and the rapid
deterioration process of an earthen site once it has been
abandoned or excavated, there is the need to study and share
rapid assessment techniques. Finally, a fair amount of
research has been undertaken to monitor treatments; there
is a fundamental need to design transferable protocols for
the evaluation of past interventions and for the monitoring
of sites.
The path to accurate and effective diagnosis and there-
fore to successful intervention programs begins with a
thoughtful process involving explanatory recording, prefer-
ably executed over time. Only when a community begins
systematically to record what it considers valuablewhile
also acknowledging that process as an act of continuous
interpretationwill the field of preservation and conserva-
tion realize the potential of heritage recording as an analyti-
cal and planning tool, and as a method for improving the
management of change.
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at http://www.getty.edu/conservation/publications/
pdf_publications/seismic_retrofitting.pdf.
Deterioration and Pathology of
EarthenArchitecture
By Leslie Rainer
Introduction
For anyone familiar with earthen architecture, the deterio-
ration of these structures is a constant preoccupation. While
earth is one of the most widely used construction materials
in the world, it is also one of the most vulnerable. Over time,
declining expertise in traditional building techniques, lack
of regular maintenance, and poor management of resources
have led to the accelerated decay of a vast number of earthen
structures, including archaeological remains, historic sites,
and contemporary buildings. The heterogeneity of earthen
materials and construction systems makes it difficult to cat-
egorize and characterize complex decay processes, so as to
formulate a general conclusion regarding the problems and
treatment of earthen structures. These factors combined put
earthen architectural heritage at great risk. Referring to the
deterioration of stone, Clifford Price aptly assesses this
problem, which pertains to earth as well: If we are to do
anything to reduce or prevent this loss of our heritage, we
must first be able to characterize the material. We need to be
able to describe the decay, and to measure the extent and
severity of decay. Only then can we hope to understand the
causes and mechanisms of decay. Only then can we hope to
understand the behavior of any particular (material) in a
given environment (Price 1996, 1).
The following is an overview of the research being car-
ried out on the deterioration of earthen architecture. It cov-
ers the common symptoms, the identification and analysis
of deterioration factors, and the causes of deterioration,
drawing upon the literature from clay and soil science jour-
nals and agricultural studies, earth construction manuals,
conservation conferences, and symposia that have been held
over the past thirty years. While this overview attempts to
analyze pathologies and decay factors methodologically,
one must recognize that assessing deterioration is a circular
question, one in which the symptoms are frequently the first
visible manifestation of decay and the starting point for
assessment. Often one must work backward to understand
the source of a problem and to effectively design a response
that eliminates causes rather than one that simply alleviates
symptoms.
Methodologies of Assessment
In a paper on earth construction technologies appropriate
to developing countries, R. E. Hughes (1986) addresses the
question of the restoration and maintenance of earthen
buildings, basing his views on a previous paper (Hughes
1983), which proposed a decay typology that takes into
account the composition of the soils and their mechanical
and chemical properties. Hughes stresses the need for an in-
depth analysis of conditions that takes the following factors
into account:
1. the environment on a macro and micro scale
2. the materials, again on a macro and micro level
3. the architectural form and its history
4. the building technique
5. the structural system
6. the use and reuse, such as foreseeable changes in the
future
Hughes emphasizes that successful treatment relies
fundamentally on characterizing and thoroughly under-
standing the processes that generate active deterioration
and structural deformation. Repairing the visible evidence
of damage without having addressed the mechanisms of the
decay is of little value, and can it lead to more harm than
good over time.
Van Balen (1990) goes a step further and presents a
methodology for the conservation and restoration of
earthen buildings, including the following elements:
45
46 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
study of the physical environment
study of the historical values
condition of the building
evaluation of the architectural typology
architectural importance
Here he points out the importance of analyzing the value of
the architectural object for conservation, and he attempts to
go beyond purely technical and material considerations.
This has been a trend in conservation philosophy over the
past decades, and it is particularly pertinent for the conser-
vation of earthen buildings.
General Pathologies and Deterioration Phenomena
General pathologies of earthen architecture typically tend
to manifest at the top of the wall, where erosion occurs if the
wall is not protected by an adequate roof or shelter, and at
the bottom of the wall, if there is water penetration/infiltra-
tion, rising damp, and salts from the ground that may
migrate into the wall at the base (CRATerre and Doat 1983).
The causes of deterioration are often classified as intrinsic,
when they can be associated with material composition or
construction type, and extrinsic, when external factors such
water, wind, and other environmental and contextual fac-
tors play a role.
A number of articles and papers have been written
describing the general pathologies of earthen structures and
decay phenomena. Houben and Guillaud (1994) describe
some of the general pathologies, though with a focus on new
construction, while Warren (1999) addresses agencies of
failure and identification with a focus on historic structures.
Crosby (1983) more specifically addresses deterioration of
earth in the context of conservation. This paper provides a
succinct summary of the most common types of deteriora-
tion and their primary causes. Crosby identifies the most
common types of deterioration observed on adobe build-
ings and ruins as basal erosion, surface erosion, cracks and
bulges, failure of the protective coating, upper wall displace-
ment and leaning, and collapse. He then presents four water-
related processes that cause deterioration: (1) wet/dry cycles;
(2) freeze/thaw cycles; (3) capillary rise; and (4) condensa-
tion. (see section Water below).
With regard to more specific decay mechanisms, Odul
(1990) states that a majority of phenomena of erosion are
directly related to the actions of rain, wind, and human
beings, and he describes all the symptoms and causes in
detail. Viuales (1981) and Chiari (1985) focus on water as
the main cause of decay, and both make particular note of
the link between water and the damaging effects of soluble
salts. Olivier and Mesbah (1993) look at characterization of
earth materials and also describe the most common causes
of deterioration of earth building materials as water pene-
tration, high water table, or use of impermeable plasters.
Richard Hughes (1983) looks beyond material and environ-
mental mechanisms and emphasizes structural decay mech-
anisms as well, including structural movements, shrinkage
and cracking, moisture and thermal movement, density
relaxation, and load redistribution.
A number of case studies also address deterioration,
often with a site-specific focus but sometimes with indica-
tions of general deterioration factors that affect earthen
architecture on a larger scale. Alessandrini and colleagues
describe the materials and deterioration of the walls of Capo
Soprano at Gela, in which they present the complex prob-
lems of deterioration by soluble salts, wind erosion, micro-
biological etching, and use of inappropriate materials in
previous restorations (Alessandrini et al. 1990). Brown,
Sandoval, and Orea (1990) discuss deterioration factors at
the archaeological site of Paquim, Casas Grande, Mexico,
including water (rain, run-off, capillary action), wind abra-
sion, thermal expansion and contraction, and abrasion due
to visitors. In an article on the earthen city walls of Gre-
nada, Spain, Gallego Roca and colleagues note that the most
deleterious agent in this case is the continual, often ad hoc,
repair of the walls using incompatible materials (Gallego
Roca et al. 1993). The use of cement has led to significant
deterioration due to differences in thermal expansion and
the presence of salts. Water is also shown to be a major fac-
tor, from flooding, causing deterioration at the base of the
walls, and capillary rise, as well as rains, which lead to ero-
sion along the top of the walls.
Analysis of Deterioration Processes
Condition recording is addressed in Recording and Docu-
mentation of Earthen Architecture by Claudia N. Cancino
(p. 32). The following text discusses, in brief, the specific
analysis of deterioration phenomena as a means of under-
standing processes of decay.
Few studies have been published that discuss measure-
ment of the extent and/or rate of deterioration. One such
study was carried out by Binda and colleagues, who con-
ducted both accelerated aging tests in the laboratory and
field tests to determine the rate of deterioration of different
masonry wallsstone, mud brick, and mixed (Binda et al.
1995). Following the laboratory tests, full-scale models of

facades were constructed, and they were subjected to
moisture and salts. Data were collected regarding the envi-
ronment, moisture and salt movements in the walls, deteri-
oration of the external surfaces, the influence of mortar
joints on moisture distribution, and the position and expo-
sure of the material on the deterioration. In situ and labora-
tory results were compared in order to adjust the aging tests
to the natural environment.
Other research projects have also used test walls to
study the rate and extent of deterioration. One notable case
is by Chiari, Rigoni, and Joffroy (1993), who set up two
parallel testing projects at Fort Selden, New Mexico, and
Grenoble, France, to evaluate the effects of ethyl silicate on
earthen test walls. The direct results of this study showed
that application of ethyl silicate on exposed earth walls
slowed the deterioration process. The results were measured
visually, and the darkening of the color of the surface was
compared. Chiari et al. (1993) designed a method to mea-
sure differential darkening on sandstone using tristimulus
colorimetry, which could be used for earthen walls as well.
Taylor (1988) describes another test wall project at Fort
Selden that studied erosion rates of various amendments to
mud plaster, capillary rise in walls, and impact of precipita-
tion on wall caps by monitoring them over time. Selwitz,
Coffman, and Agnew (1990) reported on the evaluation of
the adobe test walls at Fort Selden for the effectiveness of
specific treatment materials and methods of consolidation.
In this study, the results were evaluated visually according
to a numerical rating system.
Oliver and Hartzler (2000) undertook a thorough study
for an archaeological site when they measured the deterio-
ration of walls at Fort Union, New Mexico. In their study,
they measured the loss of material and rate of erosion on
wall elevations by looking at the change in wall area on ele-
vations and sections, as well as examining deterioration of
wall bases and wall tops. This work served to evaluate the
stabilization measures for the site. The model developed for
the work makes it applicable to similar sites, particularly
earthen archaeological sites.
Regarding specific laboratory testing and analysis of
deterioration products found in earthen building materials,
it appears from the literature that most studies have focused
on moisture and salts. As early as 1977, Clifton proposed
that better methods be developed for characterization and
nondestructive measurement of water content in earthen
bricks (Clifton 1977). Since then, many studies have looked
at this problem. Dayre and Kenmogne (1993) investigated
Deterioration and Pathology of Earthen Architecture 47
the hygric properties of various earth test blocks and used
gamma ray spectometry to study the granulometric differ-
ences between two earthen materials correlated with
humidity transport. Using this method, they were able to
determine the profile of the humidity front and to deter-
mine the hydraulic diffusivity of bricks made from clay soil
on different structures.
Environmental scanning electron microscopy has been
employed by Doehne (1995), and Doehne and Stulik (1990)
to study the dynamic of wetting and drying of adobe sam-
ples and to evaluate their deterioration. Similarly, Rodrguez
Navarro, Pardo, and Ginell (1996) looked at the swelling
process in sepiolite-bearing Egyptian limestone sculptures
using an environmental scanning electron microscope
(ESEM), and they found that sepiolite could be, in part, a
cause of ongoing deterioration. Although this paper deals
with limestone, it could inform studies on deterioration fac-
tors in earthen materials. Basma et al. (1996) also looked at
the swelling and shrinking of soils, and physical and micro-
structural changes due to cyclic swelling were studied,
respectively, through ultrasonic investigation and observa-
tions with scanning electron microscopy (SEM). The results
showed that cyclic swelling and shrinkage have a marked
influence on the expansive behavior of clays. ESEM has also
been used by Rao, Brinker, and Ross (1996) to study the
weathering of stoneanother example of the use of ESEM in
the examination of material deterioration. ESEM is very use-
ful in the study of salt deterioration as well, as discussed by
Rodrguez Navarro and Doehne (1999), who concluded that
different mechanisms of salt crystallization and saturation
affect the deterioration of different materials. Again, while
this study was conducted for stone, the analytical methods
are relevant for earth as well.
Sparvoli, Ristori, and DAcqui (1989) found evidence of
microstructure modifications on soil samples equilibrated
at different water potential, by mercury and nitrogen poros
imetry measurements of the clay minerals and cements,
again showing the effect of the composition of the soil on its
behavior and showing its potential deterioration with expo-
sure to water.
Specific Deterioration Factors
As stated above, one of the most deleterious elements for
earthen materials is considered to be water, but it is gener-
ally the combination of many factors that prompts deterio-
ration processes. The following looks at research specific to
various factors, both intrinsic and extrinsic.
48 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
Building Materials and Construction
A fundamental intrinsic factor affecting the deterioration of
earthen structures is construction typology and materials.
Houben and Guillaud (1994) break down the building types
and specific pathologies in their comprehensive handbook
on earth construction. Given the different construction sys-
tems of earthen architecture, construction types can be
generally categorized as:
Monolithic (or Massive Earth)
Excavated (excavated in this context means carved out of
the soil, or troglodytic, as opposed to the archaeological
sense of the word)
excavated foundations
excavated dwellings in deep loess deposits
excavated chambers in volcanic tuff or conglomerate
with sandy silt and clay lenses
poured earth
shaped earth
rammed earth (pis)
Masonry
adobe or mud bricks
cut blocks
stone/fired brick with mud mortar
Structural Component
wattle and daub
cob on posts
Often issues of intrinsic deterioration are specific to partic-
ular construction techniques. In excavated chambers, dete-
rioration issues may be due to the materials in the soil layer
itself, which might contain impurities that lead to salt efflo-
rescence, biological growth, and so on. Pis can show crack-
ing at joints; adobe masonry may show deterioration if the
bricks and mortar are not compatible or if there is a lack of
sufficient keying between the masonry and plaster layer,
leading to differential erosion. Wattle and daub may show
deterioration of wood elements.
Studies on the deterioration of pis have been con-
ducted by Scarato (1986), CRATerre-EAG and others. Scar-
atos study is an analysis of the main characteristics of
earthen heritage in the French regions of Rhne-Alpes and
the Auvergne; a list of pathologies is also included (e.g.,
structural, such as deep cracks, and superficial, such as flak-
ing, cracking, pests, etc.). CRATerres study (1983) of typi-
cal deterioration in pis structures in southern Morocco
identified a recurring water-drip system that acts by
impact, run-off, absorption, infiltration, and splash back.
Honeysett (1995) describes common causes of decay to
cob, noting the following: (1) structural movement caused
by forces applied to the wall from outside influences, (2)
erosion and loss of material because of climate and the effect
of fauna, and (3) the effects of humidity in cob.
Keefe, Watson, and Griffiths (2000) address the possi-
ble causes of failure in traditional cob buildings in England.
The research suggests a correlation among geographical
location, soil type, and the propensity to failure. Moreover,
climatic factors, exposure, orientation, and wind-driven
rain may be as significant as building condition and con-
structional details in promoting moisture-induced failure.
In their work, they note that the use of inappropriate repair
materials (cement plasters and repairs) has also led to the
deterioration of cob buildings. Ziegert (2000) reports on
cob buildings in certain areas of Germany, where cob was
traditionally the most common method of building until
the end of the nineteenth century. In his work, he examined
construction technique, material composition, and types of
damage and the causes. These two more recent studies look
at construction techniques within the context of specific
locations, considering the history of the building tradition
and the influences of the surrounding environment in addi-
tion to the manifestations of decay. Such an orientation
leads to a very localized study, but it ultimately results in a
comprehensive and integrated approach that makes the
research relevant and applicable to other contexts.
As early as 1970, Torraca published on the deteriora-
tion processes of mud brick structures (Torraca 1970). Other
studies on the deterioration of adobe have been conducted
largely in regard to adobe construction in the southwestern
United States. The U.S. National Park Service, Preservation
Assistance Division, Technical Preservation Services (1978),
published a National Park Service Preservation Brief dis-
cussing the traditional materials and construction of adobe
buildings and the causes of adobe deterioration.
A guide for the conservation of adobe architecture,
published in 1998 by Cornerstones Community Partner-
ships (Uvia Contreras 1998), outlines the main processes
of deterioration in adobe architecture in a very didactic for-

mat. In this guide, the authors make a distinction among
three main deterioration processes linked to the actions of
water and humidity:
1. The wet/dry cycle with three stages: (a) saturation of the
wall through rain, (b) evaporation and migration of
soluble salts in the outer surface, and (c) crystallization
of these salts leading to surface erosion.
2. The freeze-thaw cycle, which also acts in three stages:
(a) saturation of the wall by winter precipitation (rain,
snow), (b) freezing of the accumulated humidity,
causing (c) crystallization and expansion of the water.
3. Capillary rise and splash back at the base of the wall,
resulting in deterioration by erosion. This deterioration
may be accelerated and move toward the top of the wall
when repairs are carried out with portland cement (fills
or renders).
It is worth noting that while there are deterioration
mechanisms specific to different building types and con-
structions, many of the causes of deterioration are common
to all. The difference in construction technique between
massive earth, masonry, or structural component systems
plays a large part in how the building and the earthen mate-
rials react to the deterioration agent. In addition, it is not
uncommon to find that deterioration results from the use of
incompatible or faulty materials in the original construc-
tion. Houben and Guillaud (1994) stress the importance of
using appropriate and compatible materials in their hand-
book on earth construction. Crosby (1980; 1983) specifically
discusses this issue in relation to conservation in his
research on the detachment of lime plaster from the adobe
walls at Tumacacori National Monument.
Building Location
Building location can likewise be an intrinsic factor of dete-
rioration of earthen structures. Pearson (1992) states that a
dry site is essential because the absorbent nature of the
material allows the walls to attract moisture by capillary
action from the ground. Low moisture content in the wall is
desired, and a well-drained, raised site is always preferable
to a low-lying, damp one.
Building Evolution and Use
The evolution of an earthen structure and its past and cur-
rent uses can beget a variety of intrinsic and extrinsic fac-
Deterioration and Pathology of Earthen Architecture 49
tors that influence deterioration. Very different challenges
may affect historic buildings that are still inhabited, as
opposed to archaeological sites where the remains of earthen
structures have been exposed to the elements.
In historic buildings, the lack of maintenance and inap-
propriate repair materials are often cited in the literature as
problematic. Koumas and Koumas (1993) make this point
in describing the deterioration of medinas in Algeria.
Michon (1987) attributes the decay of casbahs in southern
Morocco to socioeconomic change that introduced new
construction materials, and this is echoed in the publication
by ICCROM, CRATerre-EAG, and UNESCO which dis-
cusses their work at the Royal Palaces of Abomey (Joffroy
and Moriset 1996a; 1996b). Modifications of roofs, from
steeply pitched thatch with a large overhang to shallow cor-
rugated metal, result in poorly protected walls, decreased
air circulation, and the creation of new stress points.
Deterioration factors for archaeological sites are often of
a different nature, related more directly to abandonment
and/or excavation. Most earthen structures in archaeological
contexts have lost their roofs and are therefore all the more
vulnerable to environmental factors of decay. According to
Ligey (1990), excavation of walls is the cause of much dete-
rioration. Modifications due to the constituent materials and
internal structures of earthen walls, interfering with exterior
phenomena and a sudden change of environment, lead to
rapid deterioration. Structures that have long been buried
have reached an equilibrium that is greatly disturbed at the
time of excavation, when rapid drying of the materials can
occur, and weight loads are suddenly shifted. Ndoro (1990)
describes this as one of the main causes of deterioration of
prehistoric daga structures in Zimbabwe. Macintosh (1974)
studied the deterioration processes of earthen architecture in
West Africa and investigated the current construction tech-
niques to better understand the deterioration processes of
pis and wattle and daub in archaeological contexts.
Taking the topic further, French (1987) discusses the
composition, properties, and deterioration of mud brick
and the conservation of excavated mud brick structures.
She identifies the main issues of mud brick conservation,
including protection of the material after excavation, and
proposes reburial and shelters as useful means of temporary
or long-term protection for excavated archaeological struc-
tures. Palma Dias (1993) also gives an overview of the wide
variety of causes of deterioration suffered by earthen archae-
ological structures that have been excavated.
50 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
For earthen archaeological structures that have not
been in a buried state, exposure over time allows a range of
deterioration factors to act upon the site and materials.
Hartzler and Oliver (2000) describe the pattern and
sequences of deterioration of Fort Union, New Mexico, an
abandoned nineteenth-century U.S. Army frontier post
made of adobe. They used current and historic documenta-
tion to compare conditions of the site over time and to
better understand the mechanisms of decay, with the main
factors identified as abandonment, exposure, wind, rain,
and snow. Similarly, in their research on the conservation
of mud brick structures in Abusir, Egypt, rmek and Losos
(1990) note that rain and wind erosion contributed greatly
to deterioration, and they carried out thermal analysis and
thermogravimetry to show the difference in old versus
new adobes.
Water
As noted previously, water is a common deterioration factor
for earthen buildings. Numerous articles have been written
on this topic, examining the problem from various aspects.
Early on, Clifton (1977) noted that the deterioration of
adobe structures can be directly or indirectly correlated
with the presence of excess moisture, and he makes the
point that the successful preservation of most historic adobe
structures depends largely on effectively protecting these
structures from water. Important studies by Chiari (1985)
and Crosby (1983) describe the different problems that earth
buildings face, including wet/dry cycling, coving at the base
of walls from standing water, capillary rise, and surface
condensation. Chiari, Rigoni, and Joffroy (1993) also inves-
tigated the problems of moisture with consolidation using
ethyl silicate, building on this earlier work. Houben and
Guillaud (1989) discuss the problems of water in earth
buildings and provide useful diagrams, showing typical
problems of moisture infiltration. Odul (1990) outlines the
causes and effects of humidity in earthen walls and pro-
poses an analytical schema and systematic approach to the
diagnosis and treatment of these problems. His outline pro-
vides a comprehensive overview of the problems and serves
as a useful tool for visualizing the causes and effects of
deterioration.
In his work on the conservation of porous building
materials, Torraca (1981) presents the scientific concepts
underlying the conservation of materials such as stone,
brick, and adobe. He discusses water movement in porous
solids, masonry deterioration, and conservation. The U.S.
National Park Service also addressed this issue in a preser-
vation brief on the problems of moisture in masonry build-
ings (Smith 1986), another study that could relate to adobe
buildings.
The United States Army Corps of Engineers Waterways
Experiment Station Environmental Laboratory has pub-
lished several articles in the Archeological Sites Protection
and Preservation Notebook (U.S. Army Corps of Engineers,
Waterways Experiment Station, Environmental Impact
Research Program 1989) on the impact of water on earthen
buildings, with Fort Hall National Historic Landmark (an
archaeological site on the Snake River in Idaho) and the Rio
Abajo District (a series of sites in the Central Rio Grande
River Valley, New Mexico) as illustrative cases. Impacts that
result in water-related changes include the grading of roads,
vandalism through excavation and by means of bulldozer
cuts, construction of irrigation canals, stream bank erosion,
erosion control ditches, arroyo channeling, construction of
houses and fences, maintenance of beehives, and use of live-
stock pens. This is one of the few published studies in which
impacts to sites have been quantified, and it provides a good
overview of the effects of waterways in proximity to earthen
structures.
A range of additional case studies outlining water-
related deterioration can also be found in the literature.
Baggio and colleagues present a study of moisture migra-
tion in the walls of the church of Santa Maria dei Miracoli
in Venice, where the walls have a high moisture content
(Baggio et al. 1993). Through laboratory tests and field mea-
surements, the thermal and hygrometric characteristics of
the brick and stone were analyzed, and a numerical model
of the heat and mass transfer was employed to study the
drying of the walls. Dubus (1990) proposes electroosmosis
to dry walls, using carbon fiber electrodes. Tests were con-
ducted on samples of earth, with the intention of testing
this method on an earthen archaeological site.
In a case study on the archaeological site of Mari, Syria,
Bendakir and Vitoux (1993) discuss moisture problems in
walls due to a high water table. In situ and laboratory testing
were carried out to determine the moisture levels in the wall
profiles. Bertagnin (1986) describes the deterioration of ver-
nacular architecture in Algeria, where lack of maintenance
has led to rain-related erosion of pis, and extreme fluctuat-
ing temperatures and wet/dry cycling have spurred deterio-
ration of mud brick structures in desert environments.
In another water-related study, Fouad (1993) investi-
gated the damage to earth construction in marine environ-

ments, looking at the combined damaging effects of salt and
water by airborne salts and moisture. Laboratory studies
were carried out using a sea-fog simulator to reproduce the
different effects of salt and water on compacted earth mate-
rial. The study looked at treated (acrylic polymer) and
untreated samples, then aging tests were performed. Gar-
recht, Hilsdorf, and Kropp (1991) also studied the effect of
salt and water on structural elements of buildings (not nec-
essarily earth). This study found that by capillary rise,
hygroscopic salts are transported into the structural ele-
ment of the building and influence the moisture behavior.
He discusses the consequences of the moisture balance on
salt-contaminated structural elements. In a final example,
the influence of temperature and moisture content on the
thermal properties of earthen buildings was investigated by
Laurent (1990), who used a thermal shock probe to deter-
mine thermal parameters, heat conductivity, and heat
capacity of earth walls.
While the effects of water on earthen structures are
well documented in the literature, less research has focused
on the actual decay processes associated with water. The
research that has been undertaken relates primarily to the
shrinking and swelling of clay particles with wetting and
drying, and it applies more directly to soil or clay chemistry
than to earth as a building material. Van Olphen (1977)
gives an introduction to clay colloid chemistry and to the
interaction of water and clay and how this leads to the swell-
ing and shrinking of the clay particles. In this work he also
presents a classification of clay minerals and examples of
specific swelling mechanisms.
Newman (1984) addresses the role of clays in soil,
within the context of agriculture. Here shrinking and swell-
ing are correlated with clay mineralogy in the soil, in order
to further understanding of the textural and structural
modifications associated with wetting and drying. This
model can be very useful when looking at earth mixtures
used for construction. Osipov, Nguen, and Rumjantseva
(1987) discuss the effects of cyclical wetting and drying and
show that the more cycles of wetting and drying, the more
swelling can be expected. Pardini and colleagues discuss
more specifically the structure and porosity of smectitic
mudrocks as affected by experimental wetting-drying cycles
and freezing-thawing cycles and describe methods to
obtain information on freeze/thaw and wet/dry cycles that
affect structure and porosity (Pardini et al. 1996).
Prost and colleagues discuss the consequences of the
hydration and the swelling-shrinking phenomena of clay
Deterioration and Pathology of Earthen Architecture 51
(Prost et al. 1998). They investigate the state and location of
the water on the clay particle surface, in order to understand
adsorption and desorption of the clay particle. Rosenqvists
study (1984) on the importance of pore water chemistry on
mechanical and engineering properties of clay soils shows
how the changes in the soil chemistry due to moisture, salts,
and other pollutants can change the properties of the clay
structure, which can then affect the strength of the mate-
rial. These scientific investigations, more closely related to
earth as a building material, could be very useful to the con-
servation of earthen architecture.
Salts
Some research has been done on the problems of salts with
specific application to earthen architecture, though most of
the literature relates to salts in the context of stone conser-
vation. Arnold has published extensively on salts, including
the identification of salts on monuments (1984), salts in
masonry (1981b), the nature and reactions of salts in walls
(1981a), salts and stone weathering (1976), and rising damp
and salts (1982). In other collaborative studies, he has inves-
tigated salt crystallization and salt efflorescence on walls
(Arnold and Kueng 1985; Arnold and Zehnder 1985), weath-
ering due to salts on monuments (Arnold and Zehnder
1990), and deterioration of stone materials in humid envi-
ronments (Arnold and Zehnder 1988). Zehnder and Arnold
(1988) also studied the damage from salt crystallization on
wall paintings through laboratory experiments, which
attempted to reproduce in situ deterioration processes. The
experiments characterize relations between crystal habits,
which are exhibited in efflorescence and substrate humidity.
McGreevy (1982) discusses the effects of frost and salt
weathering on limestone and points out that if there is a fre-
quent and constant supply of salt, then rock breakdown will
be enhanced; if the supply is limited and the amount remains
constant, rock breakdown is inhibited. He concludes that
further study is needed. While the aforementioned studies
examine the presence of salts on stone buildings and monu-
ments and related decay mechanisms, much can be applied
to earthen architecture.
Additional salt research relating to bricks and other
masonry has been done by Binda, Baronio, and Charola
(1985). They analyzed the deterioration of brick by sodium
chloride, sodium sulfate, and magnesium sulfate and con-
ducted tests in different experimental conditions of humid-
ity, temperature, and/or crystallizing time, to allow for
crystal growth and varying degrees of hydration. Binda,
52 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
Garavaglia, and Molina (1999) also propose physical and
mathematical modeling of masonry deterioration due to
salt crystallization. Charola and Koestler (1982) address
the action of salt and water solutions in the deterioration of
brick, and they find that the most deterioration results from
mechanical damage produced by salt crystallizing in the
pores of the brick. This remains quite relevant to the study
of earth, which is similarly a very porous material.
In the literature that addresses salts and earth directly,
the articles mostly relate to soils, including Blaser and
Scherer (1969), who report on the expansion of soils con-
taining sodium sulphate, and Ducloux and colleagues, who
address salt efflorescence in soils in paddy fields in southern
Niger (Ducloux et al. 1994). Zhang and Wang (1987) studied
the crystallization characteristics in three saline soils in
China and gave the order of crystallization and the mor-
phology of each, studied by SEM. Fripiat, Letellier, and Lev-
itz (1984) studied the depth of salt formation on clay and
found that it was mostly on the surface. This may not be
completely true for earthen building materials, which are
more heterogeneous and porous than pure clays, and which
swell with the introduction of surface water.
Little research has examined salts in the specific con-
text of earthen architecture. Jerome (1993) presents a thor-
ough analysis of mud bricks from the Bronze Age site of
Palaiastro, Crete. The paper describes the presence of salts
in the earth bricks and provides analytical protocols for
analysis. Gntzel (1993) discusses the problems of saltpeter
collection from earthen walls in the eighteenth century.
While this is an anomalous case study, it is quite interesting,
and points out the range of damage that can be caused by
salt in earthen walls.
On a microscopic level, many studies have been done
on the mechanisms of salt crystallization and deterioration
effects. Perhaps the earliest work is by Correns (1949), who
first studied the force of salt crystallization on stone. Win-
kler and Singer (1972) further investigated the disruption of
stone and concrete by the pressure of salt crystallization
against pore walls. Buil (1983) studied the thermodynamics
of salt crystallization and proposed a new method for mea-
suring salt crystallization pressure relevant to the deteriora-
tion of porous building materials. Phringer and Weber
(1990) conducted salt crystallization tests based on hydra-
tion pressure, with cycles of wetting, drying, and heating.
Charola and Weber (1992) investigated the mechanism of
deterioration by hydration and dehydration of sodium sul-
phate in building materials. Doehne (1994) made observa-
tions of the in situ dynamics of the same mechanism using
the ESEM. In two studies specific to salts on wall paintings,
Piqu, Dei, and Ferroni (1992) discuss the deliquescence of
salts on wall paintings and state that much depends on the
support and the environment, and Zehnder (1996) moni-
tored the slow deterioration processes caused by crystalliz-
ing salts and gypsum efflorescence. Recent studies have
pointed out the complex process of crystallization and dete-
rioration, with different salts or combinations of salts pres-
ent; this is an area warranting further study.
In the related scientific branch of soil science, research
has been carried out on various aspects of salts and soil.
Miller and Scifres (1988) reported on the effect of sodium
nitrate and gypsum on the erosion of a highly weathered
soil. Martn, Cuevas, and Leguey (2000) looked at the diffu-
sion of soluble salts under a temperature gradient after the
hydration of compacted bentonite; a testing method was
outlined to determine the transport of different salts in
compacted bentonite. While these studies may seem periph-
eral, the test methods used as well as the results could be
applied to, and could advance, the field of conservation of
earthen architecture.
Biodeterioration
In the area of biodeterioration of cultural heritage, one of
the most comprehensive works is by Caneva, Nugari, and
Salvadori (1991). This work explains the physiology of the
primary biological agents of deterioration and correlates
their activity with the specific environments that support
their growth. Torraca discusses the problems of biodeterio-
ration of porous building materials, pointing out the delete-
rious actions of fungi and bacteria (Torraca 1988). Another
good reference, edited by Koestler (1991), presents a series of
papers on the problems of biodeterioration of cultural prop-
erty. The most useful is a bibliography by Koestler and
Vedral (1991), which gives further references for study.
Chiari (1985) discusses the problems of biodeteriora-
tion in relation to earthen structures and discusses how
algae, lichens, and higher plants can lead to root growth in
walls, causing cracking of the earthen material. In his
schema of deterioration factors, Odul (1990) notes plants,
animals, and insects as causes of decay in earthen
structures.
Weathering
Relatively little has been published that specifically addresses
the weathering processes of earthen buildings and materi-

als. Literature related to stone is much more common in this
area. Given the vulnerability of earthen materials to erosion
and weathering, further research should be carried out,
with an eye toward developing preventive conservation
measures.
A comprehensive work on weathering is by Yatsu
(1988), The Nature of Weathering: An Introduction. While
this work focuses on stone and is not specific to earth, the
work can be applied to study weathering of earthen materi-
als. Physical weathering due to swelling and shrinking of
clay minerals is studied in detail, as is salt crystallization.
Mineral transformation in the weathering zone is also stud-
ied, showing how physical, chemical, and biological decay
processes act together.
In a case study on the conservation of the earthen site
of Chan Chan, Morales Gamarra (1985) describes processes
of deterioration, attributing much to climate and topogra-
phy. Chan Chan is located near the sea, in an area where
there is wind erosion combined with airborne and water-
borne salts. The soil has little clay and is rich in salts. The
exposure of the site, combined with diurnal and seasonal
temperature and humidity fluctuations, leads to persistent
weathering and erosion of exposed walls and other archi-
tectural elements.
Crosby (1988) maintains that the weathering of adobe
is related to moisture, the expansion of soluble salts with
moisture, and wetting and drying cycles. The study con-
ducted by Brown, Clifton, and Robbins (1978) is a good sci-
entific example of this theory. They carried out analysis on
adobe samples from three historic structures to determine
mineral assemblage, particle size distribution, soluble salt
content, and porosity. The data were correlated with observed
weathering of the structures, and soluble salts were seen to
be the primary cause of deterioration of the adobes from one
site. This early study is exemplary of the use of microscopic
analysis and macroscopic observation both to determine
deterioration mechanisms and to correlate them to historic
earthen structures exhibiting weathering. Similarly, Helmi
(1990) reports on the chemical weathering, by water and
salts, of mud brick in Egypt, with an emphasis on treatment
testing of consolidant materials.
Perhaps the most pertinent research regarding the
weathering of an abandoned adobe site is by Hartzler
and Oliver (2000), in which they studied the patterns and
sequences of deterioration by wind, rain, and snow. This,
combined with a study of the history of construction, led to
a comprehensive preservation plan for the site.
Deterioration and Pathology of Earthen Architecture 53
Atmosphere (Pollution)
As with weathering, there is limited literature addressing
the deterioration of earthen architecture due to atmospheric
factors, such as pollution. Schaffer (1967) addresses the
effects of air pollution on porous building materials, describ-
ing the chemical and physical processes of deterioration,
particularly related to stone and brick. The damaging effect
of acid rain on archaeological remains is discussed by Scharff
(1990), though again, not specifically in relation to earth.
Torraca (1976) points out that air pollution causes a modifi-
cation of deterioration processes that often results in an
increased rate of attack, or in the decay of materials that are
otherwise weather-resistant in nonpolluted environments.
Human Activity
The use of cultural heritage resources involves a range of
human activity, from visitation to conservation treatments.
While many human actions may be well intended, Alva
Balderrama and Chiari (1984) note that ill-planned and
improperly researched interventions can have deleterious
effects. This situation is often pronounced with earthen
architecture, as the loss of traditional know-how about
building with earth and the limited research regarding its
behavior in construction may result in ad hoc responses to
problems.
Abrasive wear and tear due to visitation is a common
problem among all heritage resources, and earthen sites are
no exception. While this is a known factor of deterioration,
little research has been done regarding the impact of abra-
sive wear and tear on earth. One exception is the work by
Brown, Sandoval, and Orea (1990) that looked at visitor
impact at the earthen archaeological site of Paquim,
Mexico.
Another common cause of deterioration is the lack of
monitoring and maintenance of both inhabited buildings
and archaeological sites. The nature of earthen materials
makes regular upkeep critical. This is mentioned through-
out the literature; however, it is stressed in only a few texts
and has not been the subject of systematic research. One
notable exception is the work by Oliver and Hartzler (2000),
whose study of deterioration patterns at Fort Union clearly
correlated a lack of maintenance, as well as abandonment,
with the decay of the site.
The use of inappropriate repair or treatment materials
and the poor design of interventions remain endemic to
earthen architecture, and they are frequently mentioned in
the literature. Treatment of such structures has all too often
54 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
been carried out without a full understanding of the sensi-
tive nature of earth or of the incompatibility of many
common repair materials (especially cement), as noted by
Pearson (1992). Some case studies deal explicitly with the
use of inappropriate repair materials, such as the church of
Nossa Senhora do Rosario, Embu, So Paulo, Brazil. In this
study, Pecoraro (1993) notes that, while the main decay fac-
tor was water, deterioration was exacerbated by the use of
cement. Another case addressing earthen architecture in
Argentina cited the poor design of a new roof as the pri-
mary cause of degredation. This same point has been made
about the Royal Palaces of Abomey, in a report published
by ICCROM, CRATerre-EAG, and UNESCO (Joffroy and
Moriset 1996a), where the use of inappropriate roofing
and repair materials has led to accelerated deterioration.
Fundamentally, poor planning and poor management
of conservation efforts will have negative effects on any
resource. Integrated efforts that consider conservation
needs within a broad context of site considerations are the
surest way to check deterioration and ensure long-term
preservation.
Conclusions
The general factors causing deterioration of earthen archi-
tecture, for the most part, were investigated and defined in
the literature from the 1970s and 1980s. These findings pro-
vided a foundation for more in-depth study of the mecha-
nisms by which they work. Later research has focused more
specifically on the correlation between causes and symp-
toms of deterioration, leading to a more complex under-
standing of material and structural behavior. Advances in
scientific equipment and research protocols have greatly
aided the analysis of earthen materials and deterioration
products and mechanisms. What remains critical is the
forging of a stronger link between field studies and labora-
tory analysis, which ultimately requires greater focus on
the fundamental differences between new and historic/
aged earthen materials. Much of the research being carried
out today should be brought to the field to study the mecha-
nisms of deterioration in situ, outside of the controlled lab-
oratory environment. If this is done, the caliber of scientific
research would serve the field conservator well, and the
field conservator could bring actual site conservation prob-
lems to the scientific realm for further study.
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Moisture Monitoring in
Earthen Structures
By Brian V. Ridout
Most of the organisms associated with damage to earthen
structures are dependent on elevated moisture content in
the walls. This moisture is required for the survival of the
plant or animal, but it may also soften the construction and
make it more accessible as a habitat. The identification of
damp wall areas and the quantification of moisture con-
tents are therefore of considerable importance. Unfortu-
nately, most of the efforts to develop handheld moisture
monitoring devices for building materials have been
directed at wood and concrete. Instruments for the conve-
nient and nondestructive measurement of moisture con-
tents in walls have proved difficult to devise. Trotman
(1991) provided a specification for the ideal method, and
the requirements he listed provide useful category head-
ings for this overview.
Nondestructive Methods
A nondestructive technique is one that measures some
property of the material that varies with moisture content,
rather than measuring the absolute moisture content of the
material itself. It will be an indirect technique that does not
require the removal of material from the wall.
One problem with an entirely nondestructive method
is that walls are usually rather thick, and any equipment
that will measure more than surface or near-surface prop-
erties is likely to be inconvenient in some way. Thus, impulse
radar or infrared thermography will each provide useful
information, but both types of equipment are prodigiously
expensive, and the results require considerable experience
to interpret. Binda, Colla, and Forde (1994) and Forde and
colleagues (Forde et al. 1993) showed that digital impulse
radar is able to differentiate between saturated, partially
saturated, and unsaturated areas of wall, while Dill (2000)
stated that the method measures variations in moisture
contents rather than absolute values. Calibration by some
other method is essential. Demaus (2001) and Mill (1981)
62
state that infrared thermography can show moisture gradi-
ents, and these are inferred from variations in heat radiat-
ing from wall surfaces. Infrared thermography is sometimes
particularly useful because it only requires remote access,
and results may be obtained immediately from large surface
areas. Surveys may, however, have to be planned around
weather or time of day in order to obtain a suitable tempera-
ture gradient, and the differences measured may prove to
have more than one possible physical cause. Both methods
are essentially comparative, and neither gives a measure of
absolute moisture content.
Some other methods are nondestructive but only mea-
sure moisture trends or have limited field application.
These would include gamma rays and neutron scattering
(Wormald and Britch 1969; De Frietas, Abrantes, and
Crausse 1996), neutron radiography (Justnes, Bryhn-
Ingebrigtsen, and Rosvold 1994), and nuclear magnetic
resonance spectroscopy (Gummerson et al. 1979; Krus and
Kiessl 1989; Carpenter et al. 1993).
Apparatus using neutron scattering (nuclear moisture
gauge) is available for measuring moisture trends in flat
roofs and floors. It might be used on walls, provided that
some form of mounting rig were assembled that would hold
the apparatus flat against the wall surface (Dill 2000). The
method is unlikely to be convenient in most situations.
Moisture meters that nondestructively measure the
dielectric properties of porous materials with electromag-
netic waves (capacitance meters) are commercially avail-
able, but the results only relate to the surface layers. Jazayeri
and Ahmet (1998; 2000) have shown that the depths to
which the electromagnetic waves reach (scanning depth)
can be increased in wood by a greater separation of elec-
trodes. This may be an interesting topic for investigation
with other building materials, but capacitance meters still
need to be calibrated (Milota 1994), and other limitations
are discussed in the following sections of this overview.

Bogle, McMullan, and Morgan (1983) devised a capacitance
meter for use on walls by connecting a capacitance in paral-
lel with a resonant LC circuit detuning it. The degree of
detuning was a measure of capacitance, which in turn was a
measure of moisture content. This method was claimed to
cause minimal interference with the wall.
Eller and Denoth (1996) devised a capacitance soil sen-
sor with a fork-like geometry, which gave results comparable
to those of other commonly used methods. This may prove
useful on earth walls.
Finally, Phillipson (1996) referenced and discussed two
older ideas that have been explored somewhat with modern
technology. These were infrared absorption (Cornell and
Coote 1972) and microwave absorption (Watson 1965;
1970). Both require calibration. Bilborough (1970) investi-
gated microwave absorption for measuring the moisture
content of wood. Trotman (1991) discussed the use of micro-
waves and stated that a good correlation between microwave
attenuation and moisture content could be obtained with
careful calibration in homogeneous materials. He noted,
however, that results from nonhomogeneous materials (e.g.,
bricks and mortar) had proved disappointing. Belsher (1979)
used a microwave system to determine various character-
istics, including moisture content, in mud brick walls, and
obtained favorable results.
A handheld instrument has recently become available
in the United Kingdom for measuring the moisture con-
tents of concrete, sand, and gravel (Assenheim 1993; Dill
2000), and the manufacturers believe that this meter will be
appropriate for general use on walls. This meter works by
measuring the dielectric constant of the material in the
same fashion as a capacitance meter. The higher frequency
of electromagnetic waves used is said to make the instru-
ment less susceptible to impurities such as salts (see Effects
of Salts below).
Moisture Monitoring and Substrate Type
Measurement of moisture in walls, independent of substrate
type, is not achievable at the present time with any conve-
nient instrument, if accurate readings are required. Surface
or shallow subsurface moisture contents can be obtained
with handheld meters using probes that cause minimal
damage, and the most popular type is undoubtedly the resis-
tance meter. This meter measures the electrical resistance
between two metal pins that are pressed firmly into the sur-
face. If the meter is used on wood, moisture content is read
directly from the calibrated scale because it is possible to
Moisture Monitoring in Earthen Structures 63
derive a linear relationship between resistivity and wood
moisture content over a useful range (typically 9% to about
28%). Even with timber, however, the meters produce diffi-
culties, and Hall (1994) found that six readily available Euro-
pean moisture meters produced timber moisture content
equivalent readings of from 13.5% to 16% when tested
against the same resister. Ahmet (1994) investigated the
problem and found that the meters were accurately measur-
ing resistance but that there were no internationally agreed-
upon calibrations. This is not entirely surprising because
Ahmet and colleagues (1999) have shown that equilibrium
moisture contents for a given species of timber can be natu-
rally variable and can also be dependant on the way in which
the timber dried. Calibration tables are therefore likely to
vary according to the particular planks of wood against
which the meter was tested at any particular humidity.
The situation is far worse with masonry moisture con-
tent readings, because the meters in common use are not
calibrated against the immensely variable masonry materi-
als (Howell 1996), and readings are just a reference scale.
False readings may also be produced by condensation
(Cheetham and Howard 1999), salts (see Effects of Salts
below), and concealed conductantse.g., foil-backed plas-
terboard (Melville 1992). Nevertheless, the pattern of mul-
tiple readings can perhaps sometimes be more informative
than absolute moisture contents (Coleman 1997).
Resistance meters may be less accurate than capaci-
tance meters, at least in wood (Kemmsies 1998; Wilson
1999), although Carter and Ahmet (2001) found consider-
able variation in a comparison test between the two types of
meters. Capacitance meters do have the advantage that they
measure moisture contents to a depth of a few millimeters
without leaving pin marks in the surface.
Moisture Monitoring and Substrate Textures
Commercial capacitance instruments for the building
industry in the United Kingdom may give spurious read-
ings on rough surfaces, and the measuring head may be
damaged if it is delicate (Dill 2000). Morgan, Wood, and
Holmes (1993) had a similar problem using capacitance
meters on soil surfaces, and they found that altering the size
and protrusion of the electrodes improved measurement
repeatability.
Resistance moisture meter probes are largely indepen-
dent of surface texture but leave needle marks in the surface,
and the readings are superficial. Surface readings may be
confused by condensation. Deeper readings may be obtained
64 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
if the idea of total nondestructibility is compromised and
small holes are drilled. Several resistance meter manufactur-
ers supply long probes that are insulated, except at the tips,
and these are inserted into paired and predrilled holes. The
contact between probes and wall is, however, strongly influ-
enced by the pressure applied (Trotman 1991), so that con-
sistent and meaningful readings can be difficult to obtain. A
second significant problem is that walls are rarely homoge-
neous, so results may be difficult to interpret.
The last two problems were addressed during the first
half of the twentieth century by the Salter gauge, which was
originally developed in 1940 for use in soils (Trotman 1991).
A helical coiled electrode surrounded a straight electrode,
and the assemblage was then placed in a predrilled hole
within the material or structure to be tested. Contact
between wall and electrodes was made by filling the hole
with plaster of paris, and the latter also acted as a single ref-
erence material when it had equilibrated with the surround-
ing structure. Unfortunately, distribution of water between
the plaster and test material is dependent on the pore size
distribution of the test material, as well as on its moisture
content. Calibration curves have therefore to be obtained
(Trotman 1991).
Hudec, MacInnis, and Moukwa (1986) devised a mea-
suring method for use in concrete that they called capaci-
tance effect. This method involved applying a constant
electric field (voltage) between two embedded steel elec-
trodes and measuring the resulting current at two frequen-
cies, from which a change in capacitance, and therefore in
moisture content, could be calculated.
Resistance methods devised for soils may be relevant to
earth walls, and Amer et al. (1994) tested a fiberglass soil-
moisture electrical resistance sensor against the gravimet-
ric sampling method (see Calibration versus Destruction
below). They concluded that the method was reasonably
accurate in some situations.
Calibration versus Destruction
If the concept of nondestruction is abandoned and small
holes in the wall are allowed, then calibration ceases to be
necessary. Incremental samples can be taken from within
the wall, and their absolute moisture contents can be estab-
lished gravimetrically by the oven/balance method (Build-
ing Research Establishment 1975; 1986). Samples are
wet-weighed, dried, and then weighed again, so that water
loss can be given as a percentage of a dry weight. Normally a
temperature of 105oC is used, but this must be reduced to
less than 40oC if there is plaster or salt laden material present
(Dill 2000). The method has been standardized as RILEM
recommendation MS-D.10 (de Vekey 1997). The technique
requires an oven and a balance; samples must be taken to a
laboratory, and it cannot be considered a true field method.
Site-based field drying methods have been devised using
warm-air drying units, microwave ovens, and infrared heat-
ers, but uncontrolled drying can cause numerous problems,
both with the sample and with the equipment (Dill 2000).
The problem of portability has been overcome by react-
ing the wet sample with calcium carbide and measuring the
pressure generated by the acetylene gas evolved (Building
Research Establishment 1986). Commercially available
meters work by mixing a fixed weight of powdered test mate-
rial with a fixed volume of carbide in a pressure cylinder. The
cylinder is fitted with a manometer that is calibrated as per-
centage moisture content. Carbide meters indicate available
water and are therefore largely independent of the type of
test material provided. It is up to the user to decide whether
7% moisture content, for example, means that the test mate-
rial is dry, damp, or wet, and the removal of a calibration
sample from a definitely dry section of wall may be useful.
The main disadvantages with these meters, in this authors
experience, are the disposal of waste carbide and the illegal-
ity of taking carbide on aircraft.
Gravimetric analysis and carbide meters assess the
moisture contents of samples that have been removed from
the wall and are therefore not replicable if repeated mois-
ture content evaluation over time is required. Samples taken
at frequent intervals to monitor drying, for example, will
leave a wall full of holes and will be subject to substantial
sample variation.
The Building Research Establishment eliminated the
need for calibration and introduced repeatability by a
method that required the removal of a 25 mm core from the
wall (Building Research Establishment 1975). This was then
fitted with a rubber sleeve at each end and reinserted. The
core could be removed at intervals for weighing, and the dry
weight could be calculated by drying the core when the
series of readings had been completed.
Two further methods have been devised that are worth
consideration. The first of these is an old method devised by
Vos and Erkelens (1958), who developed a wall probe with
several thermocouples on the surface and a heating element
in its core. This device worked on the principle that thermal
conductivity increases with moisture content. The major
problem encountered seems to have been that extraneous

heat sources (e.g., sunlight on the wall) could distort the
readings. Vos (1965) overcame this problem by using a sec-
ond probe installed some distance away to measure normal
wall temperatures. Vos (1970) reviewed the development of
the thermal conductivity probe and concluded that it was
more difficult to use when walls were nonhomogeneous or
constructed from materials with a low thermal conductiv-
ity. Nevertheless, Newman (1974) found that the probe
could be accurate, and the idea might be worth investiga-
tion with modern technology.
Sell (1985) described a system that had been developed
in Switzerland for calculating equilibrium wood moisture
contents from the relative humidity within holes drilled
into wooden components or walls. This method was devised
as a means of continuous monitoring because it was felt that
a humid or salt-rich environment would corrode conven-
tional electrodes. Equilibrium moisture contents for timber
were then calculated from an equation devised by Simpson
(1971). Humidity probes are also inserted into holes in walls,
or sealed into surface-mounted chambers (Dill 2000). These
methods have been particularly popular for assessing the
dryness of newly constructed cementitious bases or
screeds.
The idea of direct humidity measurements in walls has
become generally popular, at least in the United Kingdom,
for monitoring drying following flood damage. Unfortu-
nately, there is a tendency to rely on relative humidity read-
ings alone, without taking into account temperature. The
results obtained are substantially misleading, because there
is an inverse relationship between temperature and humid-
ity, so that quite dry air can have a high humidity if the tem-
perature is low. The way to avoid this mistake is to convert
temperature/humidity readings into air moisture contents
(absolute humidity, Thomson 1986).
The necessity to convert humidity data can be avoided
by equilibrating a sensor with known characteristics in a
cavity within the test material, and wood has proved to be
useful for this purpose. Dill (2000) described a wooden plug
sleeved with polyethylene that was inserted into a hole
drilled into the material to be tested. The sleeve prevented
the sensor from touching the sides of the hole, and the hole
was plugged over the sensor in order to prevent air exchange.
The sensor was interrogated with a resistance-type moisture
meter. Similar methods have been devised for measuring
the moisture contents of wood using wooden probes fitted
with electrodes. Forrer and Vermaas (1987), TenWolde and
Courville (1985), and Carll and TenWolde (1996) have
Moisture Monitoring in Earthen Structures 65
described recent versions. Dai and Ahmet (2001) tested
these sensors and found the first (Forrer and Vermaas) to be
complex and expensive to make, while the other two pro-
duced difficulties with electrical contact between wood and
electrodes and were prone to significant intersensor varia-
tion. Dai and Ahmet (2001) therefore produced their own
version, which they believe overcame these difficulties.
Their sensor is for use in timber or in walls.
Effects of Salts
A major reason that wooden wall sensors are isolated from
the sides of the hole into which they are inserted is to pre-
vent the uptake of salt laden water, which would alter the
electrical resistivity of the sensor. Salt contamination from
groundwater, or from the wall material itself, has been a
constant problem in the development of many types of
moisture meters (Trotman 1991). These salts may be mobi-
lized by water movement within a wall, and the incautious
investigator, with a resistance or capacitance moisture
meter, might conclude that there was a significant damp
problem when only a small amount of water was present.
Trotman (1991) investigated the effects of salt solutions and
found that a weak solution of sodium chloride or a saturated
solution of calcium sulphate had little effect on resistivity. A
0.5 M solution of sodium chloride, however, produced a
reading on a resistance meter reference scale of between
80% and 90% when the actual moisture content was any-
where between 5% and 22%. Ridout (2000) avoided the salt
problem with wooden wall sensors by assessing their mois-
ture contents gravimetrically with the oven/balance
method. This method simplified the sensor design because
it allowed direct uptake of moisture, and the sensors there-
fore needed only to be rods inserted into holes drilled into
the wall. Sensors could be replaced and the same holes
reused at the end of each monitoring period; the method
has proved particularly useful for measuring the rates of
drying in walls following fire damage. It also provides good
moisture profiles from the thickness of the wall. No claim is
made for precision measurements, but the methodology is
consistent, and the overriding considerations for its use
have been simplicity and the significant loss of sensors on
building sites or wherever there is public access.
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Earthen Structures:
Assessing Seismic Damage,
Performance, and Interventions
By Frederick A. Webster
The review of the available research literature found that
there are three main categories of research related to seis-
mic deterioration/pathology and seismic intervention in
earthen architecture. These categories are field observa-
tions, testing, and analysis. It was found that, whereas there
is only a limited amount of research that directly relates to
adobe and earthen materials, much effort has been spent on
seismic behavior and seismic intervention into historic
stone and brick structures. Many of the recent innovations
that have related to mitigating earthquake damage to his-
toric masonry structures have focused on stone and brick
churches in Europe. However, it is clear that many of the
analytical techniques and seismic interventions could be
applied to earthen architecture.
Field Observations
Damage Patterns of URM Structures
Field observations of earthquake damage to earthen archi-
tecture are often part of a much larger effort to observe and
record damage to all sorts of man-made structures, as well as
natural geologic phenomena. The Earthquake Engineering
Research Institute, for example, sponsors teams of engineers,
seismologists, public policy experts, and others to make
reconnaissance efforts to areas affected by earthquakes
immediately following an event. These teams work with local
authorities and professionals to collect a limited amount of
damage data before it is destroyed by recovery efforts, as well
as to report it to the broader engineering community in a
timely fashion. At times a small subteam will focus on the
performance of unreinforced masonry (URM) structures
(e.g., Holmes and Lizundia 1990), possibly including adobe
and other earthen buildings in their findings, but there are
very few relevant data that can further understanding of the
behavior of these buildings. The content and quality of this
reporting vary from event to event.
Erdik and Gulkan (1993) compiled a report on the
Erzincan, Turkey, Earthquake of 1992, including a reason-
able amount of useful information regarding low-strength
unreinforced masonry structures in and around Erzincan.
While a number of URM buildings in the Erzincan earth-
quake did suffer severe damage and/or collapse, a large per-
centage performed well. This performance can be attributed
to the small sizes and good configurations of these build-
ings, which resulted in acceptable demands on the lateral-
force resisting system. The majority of URMs in Erzincan
and the surrounding villages are one- or two-story residen-
tial buildings with reinforced concrete flat slab floors
supported by the masonry walls. The exterior elevations
generally have small, widely spaced openings. The relatively
solid walls with few and small openings resulted in redun-
dant force resisting systems with relatively high strength.
A number of buildings under construction in the vil-
lage of Uzumlu, twenty miles from Erzincan, suffered severe
damage or collapse. Six of forty two-story residential struc-
tures suffered severe damage, including collapse of the lower
story. Examination of the damaged masonry walls indi-
cated that they were constructed with cellular clay blocks
with little compressive strength. The added force resulting
from the earthquake caused them to delaminate. The same
contractor, who apparently was trying to cut costs by using
an inferior hollow clay block, built all of these buildings.
Another contractor constructed all the other houses in the
development, and the block used was a solid block with
small circular holes. The structures built with these units
were able to withstand the severe diagonal cracking without
collapse. Quality of construction practices and the type of
masonry, therefore, appear to be important contributors to
the performance of these buildings in earthquakes.
The performance of small adobe and low-quality mud
brick constructions varied from no damage to collapse.
Within any specific area, the performance of these buildings
69
70 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
depended on a number of parameters, including wall thick-
ness, roof mass, size of rooms, and quality of materials. It
also appeared that the wide variation in the performance of
these buildings could be attributed to the local soil condi-
tions and to the effects of soft soils near the river basin.
Unfortunately, soon after the earthquake, a few villagers
were seen rebuilding their adobes with the same materials
and techniques as before.
Sometimes a more extensive reconnaissance effort will
be conducted on a specific type of building (e.g., historic
earthen buildings), in which case it is sometimes possible to
use the collected data to develop information on expected
damage levels of similar buildings in future earthquakes.
Tolles et al. (1996) conducted a damage survey of nineteen
historic adobes in the Los Angeles area following the devas-
tating Northridge earthquake of 1994. Seismic performance
at both the macro and micro levels was evaluated. Types of
damage were categorized, and an overall damage level was
assigned to each building.
Performance of Strengthened URM Structures
In some field observation reports, the performance of URM
buildings that have been previously retrofitted is exam-
ined following an event. Following the October 1987 Whit-
tier Narrows earthquake in California, Deppe (1988)
analyzed damage to unstrengthened as well as strengthened
and tension-anchored-only buildings in Los Angeles and
attempted to determine the most effective ways of improv-
ing the design standards for strengthening URMs. Moore
and colleagues (Moore et al. 1988) presented preliminary
case studies on buildings that had been rehabilitated to con-
form to the Los Angeles hazard reduction ordinance. It was
found that both rehabilitated and nonstrengthened build-
ings suffered damage due to separation of the outer wythe
of brick, out-of-plane bending failure, and/or in-plane shear
failures of wall piers, especially at building corners. A few of
the buildings reported on by Tolles and colleagues (Tolles et
al. 1996) had seismic interventions in place prior to the
Northridge earthquake. The observation was that at low lev-
els of shaking intensity, the interventions did not affect the
behavior noticeably. However, at higher levels of ground
shaking, the damage levels were observed to be lower than
the expected damage level for those buildings with no seis-
mic intervention. This appears to be a similar conclusion to
that observed in shake table laboratory tests on stone and
brick masonry model buildings in Italy (Benedetti, Carydis,
and Pezzoli 1998). This subject will be discussed below in
the section on testing, under the heading Specific Seismic
Intervention Development.
Performance Based on Seismic Culture
Of historical and cultural interest is the evolution of seismic
interventions and construction techniques, which address
the concern of earthquake damage to low-strength masonry
buildings. Erdik and Gulkan (1993) to a certain extent
allude to the traditional practice of building masonry resi-
dences that are regular in shape, are only one or two stories
in height, have flat concrete slab floors supported by the
walls, and have walls with only small, widely spaced open-
ings. Although the contractors building these residences
may not be aware of it, this is an example of a seismic cul-
ture influencing the design of these structures. Arya (2000)
also provides a set of interventions and design recommen-
dations based on traditional methods of nonengineered
masonry construction, including predisaster mitigation
and preparedness and damage reduction initiatives through
building codes and guidelines.
Tobriner (1984) provides a history of the development,
from 1755 to 1907, of reinforced masonry construction
designed to resist earthquakes. The early history of the
invention of earthquake-related reinforcement techniques
is important. This paper focuses on the most basic types of
reinforcement: vertical, diagonal, and horizontal wooden
and metal members attached to or embedded in walls of
mortared masonry.
According to the paper, the first recorded reinforcing
method for masonry buildings occurred following the earth-
quake of November 1, 1755, in Portugal. Engineers devised
an internal wooden cage, called the gaiola (jail), to be incor-
porated into each new building. The cage is cross braced and
designed with staggered lintel heights. This system was used
in Portugal until the 1920s. Unfortunately, there is no docu-
mentation regarding the success of the gaiola system in
actual earthquakes. The system was little publicized and
does not seem to have been known in other countries.
Following a series of devastating earthquakes in Italy
in 1783, a solution similar to the gaiola and called la casa
baraccata was developed to tie together masonry buildings
by means of an internal wooden framework. In addition,
the concepts of continuous foundation, symmetrical plan,
and redundancy were introduced. While the casa baraccata
fell into disuse in the late nineteenth century, it proved to be
a viable life-saving system during the catastrophic earth-
quake of 1908.
 Earthen Structures: Assessing Seismic Damage, Performance, and Interventions 71
Building laws for the reconstruction of Reggio Calabria
were stipulated in 1784. In addition to wooden supports
embedded in the masonry, iron bars must also be strung
through them. Although this had been stipulated, no iron
was found to be present following the 1908 earthquake.
Iron hoop reinforcing was discovered in England in 1825 as
a means of reinforcing brick walls. Southern Italy was the
first place to adopt widespread use of iron for earthquake
resistant construction following strong temblors in 1854.
Tie rods at each floor level were put into tension by being
heated and cinched down; then they were connected to the
next story by iron straps.
In spite of severe earthquakes in 1865 and 1868, no
widespread attempts were made to improve the construc-
tion practices in San Francisco. Brick buildings were vul-
nerable to damage, but if they were built well and on hard
ground, it was thought that they could easily survive an
earthquake. Although there was no concerted effort to
develop earthquake resistant construction practices in San
Francisco, the 1868 earthquake stimulated experimental
masonry construction methods. One was based on bracing
walls by vertical rods or plates and anchors passing through
them. The several walls are united and bound by horizontal
tie-rods secured to vertical plates at the corners.
In another instance, the Palace Hotel in San Francisco
was designed to be both earthquake proof and fireproof.
The walls were on average two feet thick, with cement rather
than lime mortar, and iron bars were imbedded every four
feet in the bricks along an entire course of a wall. Yet despite
the excellent performance of this building in the 1906 earth-
quake, little change in design and construction practices for
brick buildings was seen until after a couple more devastat-
ing earthquakes. Although the technology was available
and relatively inexpensive, earthquake resistant masonry
construction only came of age after the lessons of the 1906
earthquake were repeated in the Santa Barbara, California,
earthquake of 1925 and the Long Beach, California, earth-
quake of 1933. These two events, along with a growing
awareness of the structural and economic value of rein-
forced masonry, finally popularized reinforcement.
Testing
Laboratory testing of wall specimens and scale models of
buildings is an effective means of developing innovative
seismic interventions, as well as a means of studying the
behavior and damage patterns of unreinforced buildings.
Testing research can therefore be separated into two dis-
tinct subtopics related to earthquake performance: (1) the
study of building parameters in relation to performance,
and (2) specific seismic intervention development.
Study of Building Parameters in Relation to Performance
In this first category are test programs such as Bariola and
Sozen (1990), investigating the influence of ground motion,
slenderness ratio, and wall thickness on the out-of-plane
overturning behavior of adobe walls, as well as Gulkan and
Gurdil (1989), an experimental study of the behavior of 1 1
0.3 m square adobe wall panels subjected to a constant in-
plane compression normal to the horizontal mortar joints,
as well as to an incrementally applied diagonal load for com-
pressive and shear forcescreating conditions similar to
stresses in an earthquake. This investigation, based on a PhD
dissertation, determined that failure of the wall panels under
the combined compressive load and diagonal loads occurred
as joint separation for small compressive loads and as crush-
ing or splitting for large compressive loads.
Vargas Neumann (1993) presented a very compelling
paper on tapial, or rammed earth, construction in South
America and the testing program carried out at the Catholic
University of Peru, which addresses both the study of build-
ing parameters in relation to performance and specific seis-
mic intervention development. This research focused on the
resistance of rammed earth buildings to earthquakes. Seis-
mic resistance of walls was obtained from static diagonal
compression tests on 0.60 0.60 0.15 m specimens and
from shear tests on 2 2 0.20 m walls.
The following parameters were chosen for study because
of their supposed significant influence on rammed earth
construction:
soil granulometry
water content prior to compaction
level of compaction
use of additives
joint treatment
Eighty-seven diagonal compression test specimens were
tested in the process of studying these influences, with the
following results. Compression tests on 10 cm cubes, cor-
roborated by diagonal compression tests, indicate a decrease
in dry compressive strength, as well as in shear strength,
with the increase of sand content in the soil. It was found
that, for increasing amounts of water in the mix prior to
compaction, the diagonal compressive strength increased,
72 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
although for practical purposes related to ease of compac-
tion and form stripping, a limit is about 17%.
Compaction increases density and strength to a certain
point, after which there is no increase. However, it was
found that incorporating the maximum permissible water
content prior to compaction had more effect on the shear
strength than did the amount of compaction.
Coarse sand added to the clay soils reduces the diago-
nal compressive strength, but it also reduces the cracking in
the walls. However, the water content in these sandy soils
cannot be high because of distortion of the wall upon
removal of the forms. Straw also reduces the cracking,
allowing greater water content without negative effects.
Thus, although shear strength was not influenced by simply
adding straw up to about 0.5% by weight, the addition of
straw allows a higher water content prior to compaction,
which in turn results in a greater shear strength.
Joints of stones, gravel, and straw were tested against
the natural one of no added material. The diagonal com-
pression tests showed that the best joint is the natural one,
roughened and wetted.
By testing the larger wall specimens, it was found that
drying cracks in walls do not influence the shear resistance,
and they can therefore be treated as cosmetic in nature and
can be covered in the wall finishing process. The larger wall
specimens were also employed to test the use of cane to rein-
force the walls both vertically and horizontally. The cane
mesh was tied together with nylon thread. Although the
wall specimens without cane reinforcing and with natural
joints only were about 100% stronger than those with the
cane reinforcing, the cane-reinforced walls avoided the brit-
tle collapse of the unreinforced walls. This fact is more
important than the loss of strength due to the introduction
of the cane in the horizontal joints.
Specific Seismic Intervention Development
Two seminal research and testing programs in the late 1970s
and early 1980s took place at the Institute of Engineering at
the National University of Mexico and at the Catholic Uni-
versity of Peru. These research programs developed a great
deal of understanding regarding the behavior of earthen
buildings during earthquakes, as well as the means of miti-
gating the severe consequences of the damage to these
structures.
The paper presented by Meli, Hernandez, and Padilla
(1981) at the International Workshop on Earthen Buildings
in Seismic Areas describes the work that was done in Mex-
ico on this topic. Three strengthening methods for five
1:2.5 scale adobe models were tested on a shake table using
ground motions from three major actual earthquakes. The
three strengthening methods were: (1) a reinforced concrete
bond beam at the top of the walls; (2) welded wire mesh
nailed to both faces of the walls and covered by mortar, and
(3) steel rods tied to both faces in the upper part of the walls.
The objective of the reinforcement was to decrease the like-
lihood of wall separation at the corners and subsequent
overturning. All three strengthening methods were found
to be effective, with the welded wire mesh being the most
efficient. Although these tests and the results were specifi-
cally for adobe structures, most of the results are valid for
other types of masonry construction.
The most widely used strengthening method for improv-
ing adobe seismic behavior is the bond beam in the upper
perimeter of the wall. This bonding element can be a wood
beam or a concrete beam. Because of its volume changes due
to shrinkage, adobe tends to separate from concrete and lose
the tightening effect of the bond beam. A ribbed beam, with
spurs in the corners, was proposed in Mexico to strengthen
adobe houses damaged by earthquakes.
A simpler procedure is the placement of horizontal
steel rods at the top of the walls which are slightly tightened
in order to precompress the wall. The main advantage of
this procedure is that the roof does not need to be removed.
A more comprehensive system of reinforcement consists of
covering both faces of the walls with a welded wire mesh
and a thick rendering of mortar or plaster. Additional bars
in the perimeter of the openings and in the upper end of the
walls give additional strength.
Material properties of the adobe included a mean com-
pressive strength of 10 kg/cm2 and 3 kg/cm2 for the tension
test, with a coefficient of variation of 30%. Average proper-
ties for wall specimens tested in the laboratory included
a shear strength by diagonal compression of 1.3 kg/cm2, a
modulus of elasticity of 2500 kg/cm2, and a shear modulus
of 700 kg/cm2. The modulus of elasticity and shear strength
were increased when cement mortar was used, whereas
strength and stiffness were reduced when lime mortars were
used. Two full-scale walls were tested under alternating lat-
eral loads, with an average shear strength at failure of
1.1 kg/cm2.
Due to the limitations of the shake table, reduced scale
models were used. To obtain stresses closer to those required
for similitude, additional weights were distributed to the
walls so that the density of the walls was increased by a fac-
 Earthen Structures: Assessing Seismic Damage, Performance, and Interventions 73
tor of the square root of the scale factor, 2.5. The allowable
displacement of the shake table was 2.5 cm. Models for the
shake table reproduced the typical house structure. Models
were placed on the table in such a way that the table move-
ment was perpendicular to the longitudinal walls.
Five models were tested: three were built indepen-
dently, two of them without reinforcement and one with a
concrete bond beam; the two remaining models were actu-
ally the two unreinforced models, which were strengthened
after they were tested very near collapse.
The amount of damage suffered by the models can be
related to their loss of stiffness and the consequent increase
in the fundamental period and increased damping. A basis
for comparison of results of the different models was an
increase of the fundamental period by 50%. This increase
was considered to correspond to major damage in the
structure.
The first unreinforced model withstood 90% of the
El Centro, California, earthquake record but was severely
distressed. This model was then repaired and reinforced by
filling the major cracks and covering the walls with a wire
mesh nailed to the adobe walls and a cement rendering. The
repaired and strengthened model then withstood the full
intensity of the El Centro, California, and Managua, Nica-
ragua, earthquake records, as well as 4.6 times the Oaxaca,
Mexico, earthquake record. The next model was initially
reinforced with a concrete bond beam and withstood 90%
of the El Centro record without apparent damage. It was
subjected to the full intensity of the El Centro and Managua
records without major damage, but it showed major distress
as the result of 3.6 times the Oaxaca record. The second
unreinforced model was much like the first, but it was sub-
jected to the Oaxaca record only. This model was considered
failed at 1.35 times the Oaxaca record. It was then reinforced
with steel tie-rods at the tops of the walls. It then withstood
twice the intensity that caused the unreinforced model
to fail.
Use of wire mesh is considered the most efficient
method of reinforcing existing adobes. Not only does it
enhance the seismic safety, it also protects the adobe from
weather. From the viewpoint of cost and ease of construc-
tion, the intervention of the steel ties at the top of the walls
is most convenient. However, it was felt that additional ver-
tical ties at the corners would achieve a higher degree of
safety. Several additional details should be considered in
order to obtain proper safety: roof diaphragm, connection
of roof and walls, and reinforcement around openings.
At the Catholic University of Peru (PUCP) in Lima, Var-
gas Neumann and colleagues (Vargas Neumann et al. 1984)
first studied the factors that influence the strength of adobe
masonry, including (1) material properties of the soil used;
(2) drying process (issues of shrinkage cracking); (3) effect of
additives such as lime, cement, and a dispersing agent such as
sodium carbonate; and (4) the construction process. Simple
field tests devised to identify the most adequate materials for
adobe construction and ones easily transmitted to the poten-
tial adobe builder were then proposed. Later, shake table
tests on eight full-scale models representing one-story rural
dwellings were carried out at the Structures Laboratory of
PUCP in Lima. Ottazzi and colleagues (Ottazzi et al. 1989)
summarize the findings from these shake table tests. Along
with control specimens constructed with traditional tech-
niques, various improved construction techniques were
tested and compared, including the addition of straw and
coarse sand to the mud mortar to reduce cracking, internal
horizontal cane mesh, vertical cane reinforcement, and a
crowning tie-beam at the tops of the walls. The difference in
behavior between unreinforced and reinforced models pro-
vided excellent evidence that the internal cane reinforcing
combined with the tie-beam at the roof level greatly improved
the seismic performance of the adobe structures. Improve-
ment in the quality of materials and workmanship effectively
increases the wall strength and stiffness, but it must be com-
plemented by the addition of structural reinforcement, in
order to prevent collapse.
Other related testing programs followed at the Struc-
tures Laboratory of PUCP, including a retrofit study follow-
ing the 1983 Popayan earthquake in Columbia (Torrealva
1987). Some of the adobe houses damaged in the Popayan
earthquake were repaired and strengthened with a wire
mesh at the corners and covered with a cement plasterthe
purpose being to prevent separation of the walls at the cor-
ners. A shake table test program was carried out at PUCP on
two full-scale adobe specimens to determine the efficiency
of this repair and seismic intervention scheme. The first
module was tested first without the intervention; next it was
repaired and strengthened with the wire mesh and cement
plaster system and then tested again. The second module
was first strengthened and then tested. While significantly
increasing the seismic resistance, these interventions
resulted in new patterns of failure that may be avoided by
introducing additional features in the intervention scheme.
The wire mesh is attached to both sides of the wall with
nails or wire through the wall thickness. The wire mesh
74 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
extends from the bottom of the foundation up over the
wooden ring beam at the top of the wall. The nails are spaced
at 30 cm. The mesh is covered with a concrete plaster up to
4 cm in thickness.
Conclusions of the testing program include:
wire mesh applied to the surface of the walls prevents
out-of-plane failure; when covered with cement plaster,
it also increases the resistance to shear forces and
overturning;
four-inch nails at 30 cm on center were enough to hold
the mesh in place during the shaking;
partial out-of-plane failure can be avoided by the
addition of a horizontal strip of mesh at the top of
the wall;
the greater the surface area covered by the mesh, the
greater the seismic resistance.
In addition to testing programs on adobe in North and
South America in the 1970s, 80s, and 90s (the latter dates
corresponding to the tests conducted in the United States at
the University of California, Berkeley, and at Stanford Uni-
versity, not addressed in this review), relevant tests were
conducted in Europe on stone and brick masonry at the
Institute for Testing and Research in Materials and Struc-
tures in Ljubljana, Slovenia, the former Yugoslavia.
Tomazevic, Velechovsky, and Weiss (1992) conducted tests
on three two-story stone masonry buildings. Tomazevic,
Lutman, and Weiss (1996) conducted shake table tests of the
efficacy of adding steel wall ties and/or replacing wooden
floors with reinforced concrete slabs in existing brick
masonry buildings. They found that rigid slabs and steel ties
significantly improved the seismic behavior of these build-
ings. Wooden floors may be replaced by reinforced concrete
slabs and anchored to supporting walls, or the walls can be
tied with steel ties and the wooden floors anchored to the
walls and/or braced with diagonal ties. Based on the test
results, a simple method for designing the ties was
proposed.
Tomazevic and Zarnic (1985) tested the effect of hori-
zontal reinforcement and mortar strength on the strength
and ductility of sixteen small-scale masonry wall speci-
mens, 400 x 607 x 63 mm, subjecting them to cyclic lateral
loading. At shear failure, the horizontal reinforcement sig-
nificantly improved the ductility of the walls, but it had no
effect on lateral resistance. Large amounts of reinforcement
were not found to be effective because of inadequate bond-
ing and anchorage conditions at shear failure.
Sixteen specimens with varying degrees of mortar
strength and amounts of horizontal reinforcement were
tested under constant compressive load and lateral load
reversals. The upper and lower support planes remained
parallel during the tests. Reaction forces and bending
moments transferred into the upper support beam were
measured, as were horizontal and vertical displacement,
strain in the diagonal directions, and strain in the rein-
forcement. During the tests, the crack propagation was also
observed and recorded.
Test results included the load-deformation relationship
for the walls with and without reinforcement. Shear failure
was observed in all tests. First horizontal tension cracks
occurred in the joints between the support beams and the
wall panels. Then the diagonal cracks developed at the mid-
portion. In the case of unreinforced walls, a single diagonal
crack developed until instantaneous failure occurred. When
failing in shear, the concrete block masonry behaves in a
brittle manner with minimum ductility. In the case of the
reinforced specimens, many diagonal cracks developed. In
some cases the hooks of the reinforcing bars started to
straighten. At failure, parts of the wall, already separated by
the diagonal cracks, fell out of the wall, or the wall settled
down because of the damage to the masonry from splitting
and crushing.
It was found that the ductility of the wall could be
improved by adding a sufficient amount of horizontal rein-
forcement. However, after a certain point, the effectiveness of
the reinforcement is inversely proportional to the reinforce-
ment ratio. That certain point is the amount of reinforcement
corresponding to the lateral resistance of the unreinforced
wall. The effectiveness of the reinforcement strongly depends
on the bond and anchorage condition, which in this case
depended on the mortar strength.
The European Commission sponsored several research
and testing programssome as recently as the 1990son
stone and brick masonry; these studies are also relevant to
earthen architecture. Benedetti, Carydis, and Pezzoli (1998)
tested a total of fourteen half-scale model two-story brick
and stone masonry buildings, some of which were repaired
and strengthened by various interventions and tested again
in a total of 119 shake table tests sponsored by the European
Commission. These tests were carried out at the Istituto
Sperimentale Modelli e Strutture (ISMES) in Bergamo,
Italy, and the Laboratory for Earthquake Engineering (LEE)
in Athens. The efficiency of various retrofitting methods
was studied by using three components of base excitation
 Earthen Structures: Assessing Seismic Damage, Performance, and Interventions 75
for each and recording the degradation of dynamic response
at the increase of damage. The repair and retrofit tech-
niques used included local sealing of cracks with cement
mixture, Emaco, or gypsum; steel mesh nailed to the floor
slabs, bent and connected to the walls, and covered with a
concrete layer to form a bond beam at the floor and roof
levels; and horizontal steel tie-rods applied at each story
level and anchored with steel or wood plates at the corners.
Simple methods were found to be quite efficient.
Although these tests were done on brick and stone
masonry rather than on adobe or other earthen material,
the methods of testing would be applicable to further study
of earthen materials, and some of the findings and results
appear to be quite applicable to earthen construction:
Repairs and strengthening carried out on damaged
buildings stiffened the buildings, such that much of the
original frequencies of vibration were recovered.
Original damping in the structures was only recovered
when local sealing of major cracks was used in repair,
and used in conjunction with other interventions.
Ultimate base shear coefficients for brick models were in
the range of 0.22 to 0.30, with a common value of 0.30
achieved after repairs and strengthening.
Ultimate base shear coefficients for stone models ranged
from 0.11 to 0.19.
Structural response modification factor, q, estimated for
brick masonry buildings ranged from 1.5 to 1.8 in their
original configurations, and it was 15%60% higher
when the buildings were repaired and strengthened.
Structural response modification factor, q, estimated
for stone masonry buildings was approximately 2.0,
but these buildings were already stiffened in the orig-
inal state.
This research concluded that significant increases in lateral
resistance might be obtained by simple techniques such as
the local sealing of cracks and the application of horizontal
tie-rods. The original quality of construction plays a sig-
nificant role in the benefits that might be achieved by
strengthening. Horizontal ties such as tie-rods or rein-
forced concrete bond beams are very efficient in preventing
collapse due to the separation of walls.
Another European Commissionfunded project, Inno-
vative Stability Techniques for the European Cultural Heri-
tage (ISTECH), focused on the development of innovative
seismic mitigation techniques for restoring cultural heri-
tage structures, primarily masonry buildings, damaged by
earthquakes (Castellano et al. 1999). One of the most prom-
ising innovative techniques developed was a connection ele-
ment based on the idea of using a superelasticity material.
The use of devices based on superelastic shape memory
alloys was shown to be effective in improving the resistance
of masonry structures to earthquake shaking. These devices,
known as shape memory alloy devices (SMADs) can be used
to prestress masonry yet prevent overstressing, because of
the Ni-Ti alloys superelastic force limitation, or plateau.
Other types of SMADs are used in situations where no pre-
stress is applied to the masonry; they only become activated
during dynamic loading.
The basic idea is to connect the external walls to the
floors, roof, or perpendicular walls with these SMADs,
such that under low-intensity action, the devices remain as
stiff as traditional steel connections do. Yet under higher
intensity, the stiffness of the devices decreases, reducing
amplification of accelerations and allowing controlled dis-
placements and damage, thereby preventing collapse.
Under extreme intensity action, the stiffness of the devices
again increases, preventing instability. In addition to these
features, the interventions using these devices are revers-
ible, and the resistance of the Ni-Ti alloy to corrosion is
greater than that of stainless steel.
Optimization of the SMADs design parameters was
shown to be affected by the mechanical characteristics of the
masonry, particularly tensile strength. The main result of
this optimization analysis was the insight that a SMAD that
is not sensitive to the masonry properties would be useful in
real applications where such properties are not known. FIP
Industriale in Italy has developed a SMAD with multiple
plateaus, or regions where the stiffness decreases. Shake table
tests of the FIP device were performed in Italy using three-
wythe-thick masonry wall panels 4 m high, with the devices
anchored at the 3.4 m height. The results of this test were that
the wall with the SMADs did not show visible damage, even
when subjected to a peak ground acceleration (PGA) of 50%
higher than that which caused collapse of a wall panel that
included traditional steel ties. In addition, the acceleration of
the top of the SMAD-supported wall was only 50% of that
measured for the traditionally strengthened wall.
Large-scale tests on brick masonry walls retrofitted
with diagonal SMADs on wall piers were also conducted
using a pseudodynamic procedure. In this case, the SMADs
were post-tensioned. The effect was a dissipation of about
30% of the total energy by the devices, showing their effec-
tiveness in resisting earthquake loads.
76 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
The first applications of these devices are the bell tower
of the San Giorgio in Trignano Church in San Martino in
Rio, Italy, which was damaged by the 1996 Reggio Emilia
earthquake, and the transept tympana of the Basilica of St.
Francis in Assisi, Italy, which was damaged in the September
1997 earthquake. The bell tower was retrofitted with four
vertical prestressing steel bars in the internal corners of the
tower, with a SMAD inserted in series with each rod. The
SMADs were made up of sixty Ni-Ti superelastic wires of
1 mm diameter and 3 m in length. The basilica is retrofitted
with multiplateau self-balancing SMADs, which connect the
transept tympana to the roof diaphragm. Forty-seven
devices have been installed, with a maximum displacement
of from 8 to 25 mm.
Analysis
Damage/Collapse Patterns of URM Structures
Analytical tools have been used throughout most research
and testing programs on earthen building models and com-
ponents. They have been used to verify test results and to
predict seismic behavior. Finite element analysis has gener-
ally been the approach for the analysis of specific condi-
tions. However, using these analytical models to predict or
illustrate damage and collapse patterns requires more elab-
orate, nonlinear solutions. Among some of the more inno-
vative developments are two analytical methods developed
for determining the collapse patterns of stone masonry
structures, principally historic church structures (Casolo et
al. 2000; Azevedo, Sincraian, and Lemos 2000). Casolo and
colleagues (Casolo et al. 2000) developed simplified mate-
rial models and numerical analysis to predict and evaluate
out-of-plane seismic behavior of old masonry church facades
under conditions of varying geometries, material strengths,
postelastic material behavior, and excitation characteristics.
Comparisons with observed damage patterns of Italian
masonry churches damaged in earthquakes of the late 1970s
and early 1980s confirm the accuracy and appropriateness
of using these numerical models. The method addresses
damage typologies for a specific subset of monumental
structuresnamely, old stone masonry churchesand only
the out-of-plane behavior of the facades.
Damage typology study is an integral part of seismic
vulnerability evaluations, where vulnerability is assessed by
field survey. The objective of an analytical vulnerability
approach is to identify expected behavior from field sur-
veys. The expected behavior is based on known reference
cases. The numerical model developed in this study is an
attempt to provide reference cases.
While the paper focuses on the specific collapse mecha-
nisms that are recurring in well-defined parts of the struc-
ture, it is similar to the damage typology approach of the
Getty Seismic Adobe Project (GSAP) Northridge earthquake
study, which identified recurring damage patterns in historic
adobes. However, the numerical aspect allows the assign-
ment of levels of shaking intensity to the damage, whereas
the GSAP was only able to assign levels of shaking intensity
to overall damage states, not to specific damage typologies.
Well-defined damage and collapse patterns in old
masonry churches generally do not involve structural
behavior as a whole. Thus, substructuring into macroele-
ments for analysis is used to evaluate the overall behavior of
the structure.
Numerical analysis of macroelement behavior is based
on geometry and material properties. Correlating numeri-
cal analysis with actual observation provides insight into
the particular damage and highlights the most significant
aspects. The specific material model developed for this
study is simpler than most refined numerical models for
masonry, but it is still capable of modeling behavior in the
nonlinear range.
In many cases, seismic action on the facades appeared
to divide them into rigid blocks connected by highly
degraded zones, following simple and recurrent fracture
patterns. The masonry was primarily two wythes of par-
tially cut stone, with full cut stone used at the corners. Brick-
work was absent.
Activation of specific damage typologies to specific
facade geometries depended primarily on the material
properties and excitation characteristics. The strength of
the masonry as well as the postelastic material behavior
affect the damage patterns, as do the actual ground shaking
characteristics. Differences in accelerograms reflect both
the level and the type of damage. The correlation between
damage level and PGA, however, is not strong, indicating
the need to use more than a single earthquake-related
parameter.
As another part of the European Commissionfunded
project (ISTECH), Azevedo, Sincraian, and Lemos (2000)
utilized a discrete element method (DEM) analysis tech-
nique, which falls within the general classification of dis-
continuous analysis techniques, to analyze the seismic
behavior of masonry structural systems, particularly stone
 Earthen Structures: Assessing Seismic Damage, Performance, and Interventions 77
masonry structures. The DEM represents a structure as an
assembly of component blocks in mechanical interaction
across joint surfaces. It is shown that the method is capable
of reproducing the important phenomena of crack opening
and joint sliding. It has the ability to simulate progressive
failure associated with crack propagation and large dis-
placements/rotations between blocks. It is also capable of
including reinforcing schemes, such as vertical and hori-
zontal cables that link two different blocks. The blocks can
be adjacent to each other or far away from each other. In
some situations, cables are placed in holes drilled through
the blocks, such as in the case of center cores drilled verti-
cally in a wall. Thus there is a contact between the cable and
the blocks, not only at the attaching points but also in the
blocks that are crossed by the cables. Because of the lack of
reversibility, this application is being increasingly disre-
garded in favor of reinforcing with cables or bars only on
the exterior.
One of the goals of this research was to assess the col-
lapse patterns of different structural elements when subjected
to self weight and seismic action, starting with simple arches
and columns and progressing to more complex structures,
such as a bell tower and an aqueduct. Because the analysis
method also allows for the inclusion of tension-reinforcing
elements, different retrofit schemes can be studied and miti-
gating effects compared. These seismic vulnerability (or fra-
gility) functions compare some control parameter, such as
maximum displacement, to the seismic intensity parameter,
such as the PGA.
Specific Seismic Intervention Development and
Prediction of Performance
This analytical tool can be used to evaluate specific seismic
interventions into these structures, such as the introduction
of vertical and horizontal tie-rods or cables in the bell tower
of the San Giorgio church. Other analytical methods have
been used to evaluate the potential for base-isolating
masonry structures. Qamaruddin, Al-Oraimi, and Al-Jabri
(1996) review worldwide developments of the friction seis-
mic isolation (FSI) scheme for masonry buildings, in which
the isolation mechanism is purely sliding friction. The
results of the analysis show that the seismic response was
significantly limited by the use of graphite powder or
screened gravel as sliding materials at the base of the multi-
story brick building. Suitable coefficients of friction for
masonry structures were found to range from 0.10 to 0.20.
Sincraian and Guerreiro (1996) demonstrate that the
behavior of base-isolated, brick masonry structures can be
represented by a bilinear model. Columns and arches made
of stone are modeled by a fiber element representing the
cross section of stones and having limited resistance in ten-
sion. A nonlinear infill panel element is used to simulate the
brick walls. The results show that this type of structural sys-
tem, especially if it has a large mass, can benefit greatly from
base isolation. Internal forces as well as deformations would
be greatly reduced.
Conclusion
Research related to the seismic deterioration/pathology of
earthen architecture includebut are not limited tobase
isolation repair of earthen walls and its influence on seismic
performance; analytical techniques leading to the predic-
tion of seismic damage patterns; and determination of and
understanding earthen building damage typologies based
on damage surveys, laboratory tests, and predictive analyti-
cal models. The process of recognizing the types of seismic
damage and relating them to causes and ground shaking
intensity (vulnerability analysis) is an important tool in
developing effective means of mitigating these damages
in future seismic events. Some of this research has been con-
ducted and reported in the literature, and some of it is
directly related to earthen buildings, but more information
is available regarding other types of masonry, such as stone
and brick. Although these materials differ from earthen
materials in many respects, seismic performance is often
quite similar. Therefore, the research and testing of build-
ings built of these materials are often relevant to the seismic
deterioration/pathology of earthen architecture.
Research related to developing, executing, and evaluat-
ing seismic interventions in earthen architecture includes,
but is not limited to: simple stability-based interventions,
such as wall center cores, partial roof diaphragms, strap-
ping and through-wall ties (some of the topics pursued dur-
ing the GSAP program); the reintroduction or continued
use of traditional building methods in local seismic cultures
to reduce the seismic vulnerability of buildings (as sug-
gested by the European University Centre for Cultural Her-
itage in Italy, and as observed by Erdik and Gulkan 1993);
and research related to base isolation and shape memory
alloy devices (SMADs) used to improve the stability
response of cultural heritage structures. The research efforts
related to earthen architecture are many, and they may be
78 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
extensively enhanced by looking to the several and varied
research and testing efforts on stone and brick masonry
interventions, most of which are applicable to earthen archi-
tecture as well.
References
Arya, A. S. 2000. Non-engineered construction in developing
countries: An approach toward earthquake risk prediction.
Bulletin: New Zealand Society for Earthquake Engineering
33:187208.
Azevedo, J., G. Sincraian, and J. V. Lemos. 2000. Seismic
behavior of blocky masonry structures. Earthquake Spectra 16
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Conservation of Earthen
Archaeological Sites
By Anne Oliver
Of the many types of earthen architectural heritage, archae-
ological sites are particularly vulnerable to deterioration.
Inhabited earthen structures are made habitable by the exis-
tence of foundations and roofs, functioning drainage sys-
tems, and the maintenance or reapplication of protective
renders. Archaeological sites are, by definition, uninhab-
ited: roofs may be missing or only partially in place, founda-
tions and drainage systems may be destroyed, walls may no
longer be standing, and much of the original structure may
be buried. To complicate the issue, repair and maintenance
strategies applied to inhabited earthen structures are often
deemed inappropriate for archaeological sites. In many
modern cultures, the value of the archaeological site is
derived from the physical remnants of a lost culture or tra-
dition, rather than from the cultural traditions by which it
was constructed and maintained. Cyclical maintenance and
renewal of roofs, foundations, and surface finishes using
traditional methods and materials are often not acceptable
or even practicable, given the commitment of human and
material resources necessary to conduct them.
Archaeological sites can be divided into three broad
groups, which are often found in combination at a single
location: unexcavated, above ground, and excavated. At
unexcavated earthen sites, the architecture may be a con-
structed or natural mound formed by the accumulation of
soil over the structure, or it may be buried below grade.
These sites have generally reached equilibrium and stasis,
although the balance may be upset by any change in the
environment or simply by the ongoing processes of deterio-
ration, particularly in the case of constructed mounds.
In contrast, above-ground ruins and excavated sites are
much more vulnerable to deterioration. They are subject to
the long-term impacts of temperature, wind, and moisture
(in the form of humidity, precipitation, and groundwater)
and to the less foreseeable but often more catastrophic
impacts of vibration and seismic activity, vandalism, light-
80
ning or extreme weather, animal activity, plant growth, and
so forth. Especially vulnerable are sites under excavation. As
work proceeds, the earthen materials move from the stable
buried environment, with relatively constant temperature
and moisture, to the unstable environment of the open air.
The transition from burial to exposure can wreak major
destruction in a very short time if the transition is not care-
fully controlled. Rapid drying of earthen materials is partic-
ularly problematic, as the component clays shrink, the
earthen materials crack, and the weak chemical and mechan-
ical bonds are broken. As well, many sites are only partially
excavated, and the differences in fill levels, particularly in
subterranean spaces, can create problems as moisture
migrates through the fill and then through the architectural
elements to the evaporative front. In these situations, where
the architecture is literally a part of the land, it is often pos-
sible only to address the symptoms of deterioration and not
the causes.
Each earthen archaeological site presents a unique set
of challenges in terms of the complexity of deterioration
factors that impact the architecture, the philosophy of con-
servation driving decisions, and the physical interventions
that may be implemented. Of the many conservation treat-
ment alternatives, there is a core of physical interventions
that are particularly relevant to earthen archaeological sites.
These include preventive measures during excavation, wall
caps, temporary and permanent shelters, reassembly and
reconstruction, burial and site stabilization, and removal
and relocation. Other common interventions, such as struc-
tural and seismic stabilization; drainage modification;
biological control; the conservation of decorated and undec-
orated surface finishes; and the use of consolidants, water
repellents, and modified earthen materials for repair are
discussed elsewhere in this literature review. Following is
an overview of the published research relating to the devel-
opment, execution, and evaluation of these interventions, as

well as suggestions for future research to complement, sup-
plement, or redirect these efforts.
Overview of the Published Literature
In general, the published literature pertinent to archaeolog-
ical site conservation is contained in conference preprints
and proceedings, most importantly in the publications that
arose from the series of international conferences on earthen
architecture held in Lima, Peru, in 1983 (ICCROM, Regional
Project on Cultural Heritage and Development UNDP/
UNESCO, and National Institute of Culture [Peru] 1985);
Rome in 1987 (Rockwell et al. 1988); Las Cruces, New Mex-
ico, USA, in 1990 (Grimstad 1990); Silves, Portugal, in 1993
(Alada 1993); and Torquay, England, in 2000 (English Her-
itage, ICOMOS-UK, and University of Plymouth Centre for
Earthen Architecture 2000). Several other conference pub-
lications are more specific to archaeological sites, although
the majority of the contributions pertain to the conserva-
tion of objects rather then architecture; these publications
include In Situ Archaeological Conservation (Hodges and
Corzo 1987) and Conservation on Archaeological Excava-
tions: With Particular Reference to the Mediterranean Area
(Stanley-Price 1984; 1995). Additional relevant papers were
written for more broadly based preservation conferences
and also for those in allied fields, particularly soil science
and geotechnical engineering.
Though informative, conference preprints have inher-
ent drawbacks. Most often only the abstracts of papers are
submitted to the selection committee, and the subsequent
papers are generally not subject to peer review. And in this
format, probably because of the limitations of space, it seems
difficult to balance the general and the specific to arrive at a
quantity and quality of information that is useful to others.
Many papers discuss the general approach and problems at
a site, often giving insufficient detail, or they address a par-
ticular intervention in a paper that is usually more detailed
and useful but that often presents a myopic view of the site.
General overviews of the field, ranging from brief arti-
cles to monographs, provide historical perspective and
summarize the established norms for conservation inter-
ventions at earthen archaeological sites (Alva Balderrama
and Chiari 1995; Matero 2000; Richert and Vivian 1974;
Stevens 1982 and 1984; Stubbs 1995; Taylor 2000; U.S.
National Park Service, Preservation Assistance Division,
Technical Preservation Services 1978; Torraca 1976;
Viuales 1981). A number of more general books also con-
tain information specific to the preservation of adobe and/
Conservation of Earthen Archaeological Sites 81
or archaeological sites (Ashurst and Ashurst 1988; Skibinski
1991; Stanley-Price 1995; Torraca 1981; Warren 1999). The
types of conservation interventions deemed appropriate or
inappropriate today are generally consistent, although the
preference of the author for a certain type of treatment (shel-
ter, reconstruction, consolidation) is often evident.
Books on modern earthen construction can sometimes
be useful in documenting and preserving traditional tech-
nologies and in describing materials, traditional and other-
wise, for repair and conservation. Site-specific reports,
which are difficult to access, or in-depth case studies, which
are relatively rare, can provide a good overview of the pres-
ervation philosophy and conservation techniques employed,
and they sometimes include an evaluation of their effective-
ness (CRATerre and Ecole darchitecture de Grenoble 1989;
Plenderleith, de Beaufort, Vote, and ICCROM 1964; Plen-
derleith, Vote, and de Beaufort 1964; Chiari and UNESCO
1975). Publications related to training workshops in earthen
architecture and earthen archaeological site conservation
can also be useful, although these are by default usually quite
site specific (ICCROM, Regional Project on Cultural Heri-
tage and Development UNDP/UNESCO, and National
Institute of Culture [Peru] 1985; Mathewson 1989).
The journal Conservation and Management of Archaeo-
logical Sites, begun in 1995 and subject to rigorous editing,
has and should continue to provide a reliable and accessible
forum for the dissemination and discussion of conservation
interventions for archaeological sites, as should other pres-
ervation-oriented journals. Scientific journals and books
from related fields, particularly soil science, hydrology, and
geotechnical engineering, may also contain relevant infor-
mation or articles (Armbrust and Dickerson 1971; Arm-
brust and Lyles 1975; Broms 1988).
Other important resources are bibliographies that
focus on earthen architecture (George 1973; Barnes 1975;
ICCROM 1981; Getty Conservation Institute 2002; Odul
1993) and an annotated bibliography on the management
and conservation of archaeological sites (Demas 1999). Also
of potential utility is the Gaia Project Research Index
(Dassler et al. 1993), a database of current research projects
in the field of earthen architecture that is maintained at
ICCROM.
Policy, Planning, and Management
The complexities of earthen archaeological site conserva-
tion demand a high level of preservation planning, policy
formation, and site management, whether for sites under
82 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
active excavation or for sites where excavation has long
ceased. Fortunately, the literature on cultural resource man-
agement and archaeological site management is extensive
and very useful (Demas 1999). But there is little written
regarding the development of preservation policies or plans
for earthen archaeological sites in particular, whether pre-
scriptive or as developed for specific sites (the few excep-
tions are Chadburn and Batchelor 2000; Galdieri 1981;
Gamboa Carrera 1993; Sodini 1984; Van Balen 1990; and
Warren 1999). At sites under active excavation, the impera-
tive nature of collaborations among archaeologists and con-
servators, engineers, and other preservation professionals
has only recently been recognized and promoted (Albini,
Cobau, and Zizola 1996; Chiari 1985; Leconte 1996; Roby
1995; Sodini 1984), and in fact, such collaborations may be
more regularly practiced than is reflected in the literature.
Whatever the case, it would be extremely valuable to con-
duct international research on the development and imple-
mentation of preservation planning, policy formation, and
site management for earthen archaeological sites before,
during, and long after excavation. The information should
be synthesized and used to develop, at the least, a set of
guidelines outlining recommended procedures and, at best,
a handbook that would assist the planning and decision-
making process of all those involved in the preservation and
presentation of earthen sites.
No Intervention
It is not a glamorous or often-reported choice, but the deci-
sion not to intervene at an earthen archaeological site is an
important one. The decision may be influenced by philoso-
phy (especially the objections of associated cultures), an
evaluation of the site that indicates that it is stable (Emerson
and Woods 1990), or, most commonly, lack of funds. But
what are the impacts of no intervention? A substantiated
account of what happens to a site after the decision not to
intervene provides a powerful argument for intervening, or
not, in the future. The impacts of no intervention are best
evaluated by monitoring deterioration and associated envi-
ronmental parameters; this can be accomplished through
techniques ranging from simple recorded observations, to
regular photography, to the installation of monitoring
instrumentation. The methods for monitoring deterioration
are well understood and transferable from related fields, but
a summary of the most useful and effective methods for
earthen archaeological sites would be a valuable contribu-
tion to the literature. In addition, a broad-based study of
monitored but untreated sites could provide valuable infor-
mation on processes of deterioration and on the viability
of no treatment as a preservation option under a variety of
circumstances.
Preventive Measures during Excavation
Most of the literature on preventive measures taken for the
conservation of architectural materials during excavation
pertains to stone, brick, or mosaics. These materials are rel-
atively stable compared to earth, and interventions are
largely confined to the installation of temporary shelters or
backfill during or between excavation seasons (Alva Balder-
rama and Chiari 1984 and 1987; Carroll 1998; ICCROM and
Rijksuniversiteit te Gent Faculty of Greek Archaeology
1986; Stanley-Price 1984; Roby 1995). Several early articles
propose dewatering sites to permit excavation by installing
wells, pumping groundwater, and thus lowering the water
table temporarily (Ehrenhard 1979; Plenderleith, Vote, and
de Beaufort 1964). The implications of this intervention
both during and after excavation are numerous, although
the technique may be too expensive, radical, and unpredict-
able for common use.
But very little is written on preventive measures for
earthen architecture, which is much more vulnerable to the
rapid environmental changes brought about during excava-
tion. The small body of literature focuses on decorated sur-
face finishes (Chiari et al. 2000; French 1987; Rainer 1995;
Xu 1988), but more research has been done than is reflected
here. The push must be to publish this information and
begin a dialogue, share ideas, and look for new alternatives.
Further research is warranted into the use of temporary
vapor barriers or insulators (polyethylene sheeting, styrene
chips or styrofoam beads, perlite, clays, etc.), other means of
controlling the rate of drying, methods of desalination, the
installation of shoring against fragile walls or finishes, and
the stabilization and removal of architectural elements from
the site.
Wall Caps
The unprotected tops of walls at excavated sites or standing
ruins are commonly protected with caps. The composition
and appearance of caps can vary widely, although there are
three predominant types: prefabricated blocks, renders, and
small roof-like structures. Prefabricated blocks, or adobes,
are installed on flat wall tops that often must be prepared by
removing one or more courses of deteriorated original
material. The blocks can be composed of unmodified or
 Conservation of Earthen Archaeological Sites 83

modified earth; modifiers have included inorganic additives differences in physical and mechanical properties
(lime, hydraulic lime, cement, fly ash, brick dust, and other between the cap and the wall (especially water and
pozzolanic materials), organic additives (bitumen, plant vapor permeability and coefficients of expansion
extracts or mucilage, dung, termite saliva, etc.), and syn- and contraction)
thetic organic polymers (acrylics, polyvinyls, and latex). the intensity and direction of surface water flow from
Renders are similar in composition and are applied directly the cap
over the wall tops; again, some removal of deteriorated drainage at the wall base
material may be necessary, but perhaps not as much as the aesthetic impact of the cap on the wall and the site
required for blocks. Renders are especially useful for walls
A good review of capping materials and techniques
with very narrow tops, but renders are also more prone to
from the 1960s through the 1980s was conducted by Taylor
cracking and failure. Small, gabled, or shed-roof-like struc-
(1987), with particular reference to unpublished papers pre-
tures are common on contemporary constructions (corral
sented at the 1972 Yazd conference, Premier Colloque Inter-
walls, garden walls, etc.) but are less common on archaeo-
national sur la Conservation des Monuments en Brique
logical sites. These may be composed of wood, cane, straw,
Crue, and oral interviews with authorities in the field.
or more durable materials like stone, slate, or tile. And in a
Throughout the literature, the use of adobe modified with
few cases, wall tops are consolidated (e.g., with ethyl silicate
cement, lime, or bitumen was most common, sometimes
or polyurethane) to create a de facto cap or to prepare the
with low proportions of modifier (Torraca, Chiari, and
original surface for a new cap.
Guillini 1972; Alva Balderrama and Chiari 1984 and 1987),
The composition and purpose of the cap vary with the
but often with rather high proportions (1:4 or 1:5) (Taylor
climate. In arid areas with short bursts of precipitation, caps
1987; 1988; 1990). The use of blocks modified with polyure-
are commonly of soft, permeable materials (earthen or
thane (Pencapsula) was also very common in the United
modified earthen blocks or renders) that either shed water
States in the 1960s and 1970s. And unmodified earthen plas-
away from the wall or distribute water evenly over the verti-
ters or adobes continued in use; straw chopped short was
cal wall surfaces. In climates with greater precipitation, less
common in both modified and unmodified caps. Other tra-
permeable and more durable materials are used (thatch,
ditional capping techniques were also advocated, including
slate, tile, terra-cotta, stone, brick), which are designed to
the use of overhanging layers of brush topped with earth;
deposit water well away from the vertical wall surfaces. In
gypsum; small gabled roofs of wood, cane, and straw; and
all cases, drainage of water away from the wall bases is criti-
canted and overhanging caps of ceramic tile or flagstone.
cal, as is ongoing maintenance of the cap.
A recommendation frequently repeated throughout the
A moderate amount of research and discussion on caps
years has been the continued use of traditional capping
has occurred over the past forty years, although there is
techniques until further research could provide better alter-
comparatively little reporting on their long-term perfor-
natives. And by the 1980s, many modified caps had been
mance. Most caps were developed for specific sites and
removed and replaced with unmodified caps because of
derived by trial and error. Comparative studies of capping
what was perceived as accelerated erosion of the original
alternatives, whether on test walls or original walls, are pub-
wall beneath the cap (Caperton 1988 and 1990; Hartzler and
lished only rarely (Chiari 1990a; Hartzler and Oliver 2000;
Oliver 2000). The trend was further toward unmodified
Morales Gamarra 1985; Taylor 1988 and 1990), although
earthen caps and other traditional modifying materials
much more informal and unpublished research doubtless
(particularly cactus mucilage), as well as the traditional
exists. The simple purpose of the cap is to protect the wall
techniques described above (Hoyle 1990; Taylor 1987). But
top, and often the vertical faces of the wall, from erosion.
unmodified and traditionally modified caps are relatively
But a host of issues make this more difficult than it sounds.
fugitive and require frequent maintenance, and this in turn
The issues that must be addressed include:
proved impractical at many sites where such a commitment
the kind and amount of preparation, or often destruc- of time and resources could not be guaranteed (Alva Balder-
tion, of the original wall top that is necessary to prepare rama and Chiari 1984; 1987).
a sound surface for the cap Thus, in the 1990s, earthen caps containing low propor-
the material composition and durability of the cap tions of modifiers (10%) were commonly used (particularly
84 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
cement, hydraulic lime, and acrylics, although there was
some experimentation with lime, hydraulic lime, and poly-
urethane), in order to increase durability without greatly
affecting the permeability or mechanical properties of the
adobe or render (Bendakir and Vitoux 1993; Chiari 1990a
and 1990b; Gallieri 1993; Hartzler and Oliver 2000). An
unusual experiment involved the construction of an unmod-
ified earthen crest on irregular wall tops, followed by the
spray application of an acrylic-modified render and a water
repellent (Selwitz 1995). Another involved a two-part system
for which an outer ring of earth modified with 12% cement
and chopped straw was constructed on the wall top and then
infilled with earth modified with 6% cement. The permeable
infill material absorbed water, prevented runoff over the ver-
tical wall faces, and permitted water vapor transmission
through the wall top, while the outer ring held the weaker
material in place (Bendakir and Vitoux 1993). Less perme-
able caps of traditional design, like thatch, continued to be
used in wetter climates (Bouwens 2000).
Throughout the literature, empiric observations of the
damage caused by caps are rife. The few attempts to evaluate
the long-term performance of caps are also based largely on
qualitative observations (Chiari 1990a; Taylor 1990). It
would be very helpful to separate, in a quantifiable way, the
effects of natural erosion on upper wall faces from the effects
of any accelerated erosion that may be caused by caps. This
might be done by designing an experiment that measured,
at frequent time intervals, the rates of erosion in walls
capped with materials of varying composition and design
versus uncapped controls. Capping materials and methods,
as well as potential modifiers for earthen blocks or renders,
include all of those discussed above. The effects of different
cap designs must also be considered, including the amount
of overhang, the degree of incline, the presence or absence
of a drip edge, and so forth. The installation of monitoring
rods in the caps and walls would provide quantitative data
on the location and rate of erosion through time and facili-
tate comparisons among different types of caps. If the exper-
iment were repeated in several representative environments
(arid, temperate, tropical, etc.), the results would allow for a
fundamental understanding of the impacts of different caps
on the erosional rate of the underlying earthen wall.
After the effects of natural and accelerated erosion are
separated, it would be useful to pinpoint the exact processes
by which some caps cause accelerated erosion of adobe
walls. An intensive study of an unmodified control cap, caps
that were proven to cause accelerated erosion, and the
underlying adobe walls could be conducted; this study
would collect information on temperature, relative humid-
ity, moisture content, soluble salt content, permeability,
porosity, and so on, allowing for insight into this phenome-
non. From this data, it might be possible to develop general
guidelines for design, permeability, and other physical and
mechanical properties of an effective cap.
Once the causes of accelerated erosion have been pin-
pointed, directed research into alternative capping materi-
als and designs could be conducted in order to develop a
range of durable caps that protect wall tops but do not cause
accelerated erosion or otherwise adversely impact the walls.
Capping is rarely installed independently of other interven-
tions, such as consolidation, application of renders on verti-
cal wall faces, and so forth. Thus, not only potential caps but
potential systems of intervention should be researched when
possible or applicable.
The permutations of capping materials, designs, and
intervention systems are endless, and the requirements of a
site can be particular. To limit the variables and ensure
applicable results, the design of future research projects
might be guided by issues of necessity (based on environ-
mental and erosional monitoring), cost, repeatability, ease
of installation, frequency and extent of maintenance, and
aesthetics. Admittedly, the heterogeneous nature of adobe,
even within a site, and the highly variable climatic condi-
tions among sites dictate caution when translating results
from one site to another. However, the striking uniformity
of capping materials and techniques described in the litera-
ture and applied to a wide variety of sites argues that a good
cap at one site could be a good cap at many other sites.
Temporary and Permanent Shelters
Shelters are constructed at archaeological sites most often to
protect ongoing excavations (and the excavators), mosaics,
decorated finishes (often on or of earthen plaster), and
earthen architecture. The literature on shelters is rather
extensive. While only a portion of it pertains directly to
earthen archaeological sites, the issues raised at other sites
are pertinent, and many of those publications are also con-
sidered here. The issues most germane in the course of shel-
ter design and construction include:
the physical impact of the shelter on the protected
portion of the site (most commonly changes in the level
of moisture, whether surface water, groundwater, or
humidity; temperature; wind speed and direction);

the physical impact of the shelter on the unprotected
portion of the site and the surrounding landscape (most
commonly relating to drainage and the insertion of
heavy anchoring systems into cultural deposits);
the aesthetic impact of the shelter on the site and the
landscape;
the level of visitation and the degree to which the shelter
must facilitate interpretation and/or separate visitors
from the site;
the cost of shelter construction;
the cost and realization of shelter maintenance.
A few site-specific studies were published in the 1960s, but
most of the earthen architecture literature dates from the
1980s to the present, spurred by the resolutions of the 1980
Ankara conference (stnkk and Madran 1980) for fur-
ther research into temporary and permanent shelters (see
Alva Balderrama and Chiari 1995 for a summary of resolu-
tions). The published literature is pervasively site specific; to
some degree it must be, because each site is unique. It is also
predominantly concerned with the design and aesthetic
aspects of shelters. There are a few good overviews that dis-
cuss the problems and potential solutions of shelter design
and construction (Gollmann 1987; Schmidt 1988), as well as
a very useful annotated bibliography (Demas 1999). As well,
the proceedings of a colloquium on shelters, convened in
Arizona in 2001, have been published in a special volume of
the journal Conservation and Management of Archaeologi-
cal Sites (Stanley-Price 2001).
Minissi (1985) describes the four main types of shelters
that have evolved over the years:
1. simple, purely functional and inexpensive shelters, often
temporary but usually becoming permanent, which
ignore the artistic or architectural values of the archaeo-
logical remains;
2. single roofs covering large expanses, but without any
formal spatial relationship to the protected remains;
3. shelters, usually over particular areas of artistic value,
that meet museographic requirements of protection and
viewing but create their own quite arbitrary volumes;
4. shelters, usually over particular areas of artistic value,
that go beyond basic museographic needs and relate
directly to the spatial arrangements of the ruins.
The trend in shelter design has generally been from the for-
mer to the latter, with increasing collaboration among
Conservation of Earthen Archaeological Sites 85
archaeologists, conservators, and architects. However, there
also seem to be trends within countries or regions, shaped
perhaps by climate, the type of archaeological resource, the
extent of material and financial resources, and the degree of
acceptance of shelters of one kind or another. For instance,
big enclosed halls are popular in Germany, Austria, and
Switzerland; more striking design solutions are common in
the warmer countries of western Europe and the Middle
East. Big halls with museums pervade China, while more
ephemeral shelters constructed of traditional materials are
used in South America and Africa. In addition, there seems
to be a tendency to shy away from shelters in some countries
such as the United States, in contrast to the widespread use
and acceptance of shelters in other countries such as Israel.
Prior to the selection of a shelter for site protection,
some efforts at cost comparison or cost-benefit analysis are
presumably conducted, but, with few exceptions (Bikai and
Bikai 1997; Garca-Brcena 1987), these efforts are reported
in the literature tangentially, if at all. The field would benefit
from a more rigorous presentation, analysis, and discussion
of the relative costs and potential benefits among not only
different shelter designs but among a wide range of conser-
vation options (e.g., no treatment, ongoing repairs with caps
and protective coatings, shelters, burial, or a combination
thereof). Both initial expenditures for design and imple-
mentation, as well as ongoing expenditures for monitoring,
evaluation, and maintenance, should be considered.
The literature focuses on design and aesthetic issues, but
the chief function of a shelter is to protect. Is this being done?
There is almost no quantitative, scientific research reported
on environmental and condition monitoringeither before
shelter construction that would warrant its use, or after shel-
ter construction that would justify its existence or confirm
observations that it was either protecting the site or causing
increased deterioration. The few evaluations of existing shel-
ters are largely confined to empiric observations, and these
observations are largely confined to the deleterious aspects
of shelters (e.g., an increase in condensation and humidity
or, conversely, dehydration of the earthen materials; the cre-
ation of harmful new wind patterns; inadequate drainage
systems, etc.) (Bahn, Bednarik, and Steinbring 1995; Barker
1986; de la Torre 1997; Stevens 1986). There is often little
question that the shelter has reduced the rate of deteriora-
tion, particularly from the direct impact of precipitation, but
again this cannot be quantified, because no monitoring was
conducted before and after shelter construction (Matero et
al. 2000; Mazar 1999).
86 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
It would be very useful to develop consensus on a meth-
odology for designing and evaluating physically effective
(in addition to aesthetically appropriate and didactically
useful) shelters. The methodology might then be used by
archaeologists, conservators, architects, engineers, and site
managers at a wide range of earthen archaeological sites to
evaluate the need for a shelter, select from among several
shelter options, design a shelter, evaluate an existing shelter,
and/or modify an existing shelter. Such a methodology
might include the following tasks:
1. Assess the environmental conditions and deterioration
factors affecting the site prior to shelter construction or
modification (presumably done prior to the selection of
a shelter as the most effective option).
2. Develop shelter designs or modifications based upon the
data collected above, in combination with other factors
like financial resources, site aesthetics, the didactic or
interpretive purpose of the site and shelter, and so forth.
3. Test small model shelters or selected shelter materials
over test walls or portions of the site, if possible or
useful.
4. Select and construct the site shelter.
5. Monitor environmental parameters inside and outside
of the shelter, and monitor the physical condition of
sheltered and (if applicable) unsheltered portions
of the site.
6. Analyze the data and publish the conclusions and
recommendations of the project.
In short, by understanding the environment, we can design
an effective shelter, and by evaluating the shelter, we can
develop better designs.
Two articles present the results of environmental mon-
itoring as a method of evaluating the impact and effective-
ness of shelters (Agnew et al. 1996; Theoulakis 1993). In the
more extensive study (Agnew et al. 1996), a shelter was
erected over one of two adobe test walls, and environmental
parameters in and around both walls were monitored; these
included temperature (air, ground, wall surface, and wall
interior), relative humidity, wind speed and direction, pre-
cipitation, and solar radiation. Quantitative data for the
shelter in the form of protective indices were determined
by comparing meteorological parameters inside and out-
side the shelter, and temperature variability on two identical
adobe test walls likewise under and outside the shelter. By
restricting the use of data to paired observations on the
sheltered and exposed walls it was possible to establish its
performance in reducing (or otherwise) environmental
variations within the shelter (Agnew et al. 1996, 139).
This system was fairly elaborate and was applied to two
small test walls; thus it may not be easily applied to all sites
or situations. However, it can serve as a foundation for the
development of procedures for evaluating the environmen-
tal conditions affecting a site and evaluating the impact and
effectiveness of a proposed or existing shelter. Additional
parameters like drainage patterns, ground moisture, and
wall moisture might also be monitored.
Comparative research is warranted into different types
of shelter designs and shelter materials. If sufficient envi-
ronmental parameters can be defined, computer modeling
of potential shelter designs may hold great promise. Com-
puters aside (or in order to calibrate and test the effective-
ness of a computer model), it would be quite interesting to
construct a series of test walls, erect a variety of shelters, and
monitor the environmental parameters outlined above in
order to gain a better understanding of the effects of differ-
ent designs and materials. Variables might include the type
of design (flat roof, shed roof, gable roof, dome, etc.), the
degree of enclosure (fully enclosed, partially enclosed, and
open sided), types of materials (metal, stone, concrete, geo-
textiles, glass, plastics, wood, traditional materials), perme-
ability to moisture and air, material color and transparency
or opacity, and so forth. Distinctions might also be made
between temporary and permanent shelters. As well, the
interesting concepts of diurnal and seasonal shelters (Hin-
kel 196768; Maekawa and Agnew 1996) deserve further
development and evaluation. As with caps, the variations
should be bounded by the particular considerations of the
site or region under study, including cost, repeatability, ease
of installation, frequency and extent of maintenance, and
aesthetics. While admittedly broad in scope, the lessons of
comprehensive studies of this sort would be of immense
benefit. Comparative studies of existing shelters are war-
ranted as well, to measure their effectiveness in terms of
physical protection, cost, interpretive or didactic function,
integration with the site or landscape, aesthetics, and popu-
lar appeal.
In addition to these recommendations, the resolutions
of the Ankara conference of 1980 still pertain (stnkk
and Madran 1980; Alva Balderrama and Chiari 1995). These
include research into low-cost shelter constructions, both
temporary and permanent, and the continued development
and testing of design concepts by professionals in the related

disciplines of archaeology, architecture, and conservation.
Publications should focus equally on the process and the
result, and preferably from the standpoint of both design
and conservation.
Reconstruction
Fragile and eroded earthen archaeological sites do not lend
themselves to reassembly, or anastylosis, and the practice is
not common. In certain instances, detached sections of a
monolithic construction may be mechanically reattached,
or a recently collapsed adobe wall may be reassembled.
Reconstruction is more common, and may vary in extent
from the partial reconstruction necessary to integrate exist-
ing elements, buttress walls, direct visitor traffic, or facili-
tate interpretation (Hartzler and Oliver 2000; Marchand
2000; Orazi 2000) to the proposed or actual full reconstruc-
tion of a lost structure (Emrick and Meinhardt 1990; Smith
1986; Stevens 2000). The methodology for reconstruction is
well established: in most cases, research is first conducted
into the original forms, materials, and methods of construc-
tion, which then guide the new construction. Materials may
be modified to increase durability, and efforts are made to
distinguish repair from original materials. In some cases,
original earthen materials may be reconstituted to form
reconstructed elements.
But all reconstructions impact an archaeological site
physically and aesthetically, and few publications address
these impacts at earthen sites. Extensive partial reconstruc-
tions or full reconstructions can have effects similar to those
of shelters, and the recommendations for further research
described for shelters (see above) apply equally to large-scale
reconstructions. The field would benefit from critical
reviews of the effectiveness of existing reconstructions; such
reviews should address issues of design, interpretation,
impact on environmental conditions and original materi-
als, monitoring, maintenance, and cost (both total and in
relation to other alternatives).
Backfilling, Burial, and Site Stabilization
In the past twenty years, backfilling and burial (or reburial)
have been recognized as a potentially effective method of
preserving archaeological sites, and the body of literature
has grown accordingly. A number of articles and a good
annotated bibliography on the subject have been written in
the past ten years (Demas 1999), but the field is so new that
much of the recent research is unwritten or in thesis or dis-
sertation form. And almost without exception, published
Conservation of Earthen Archaeological Sites 87
research pertains to the preservation of organic materials,
namely wood, in anoxic, waterlogged environments, or it
discusses the backfilling of mosaics and painted surface
finishes. As with shelters, much of this literature, although
not specific to earthen architecture, is germane. Another
avenue of research has addressed the impacts of burial
on artifacts (e.g., the compression and destruction of fragile
artifacts, type and rate of deterioration in the burial environ-
ment, movement of artifacts over time). Very few publica-
tions address research into the burial of earthen architecture,
although the intervention is often included in general discus-
sions of preservation options and is deemed very effective
(Alva Balderrama and Chiari 1995; Chiari 1985; French 1987;
Galdieri 1981; Stevens 1984).
The exceptions are a few case studies on burying
earthen test walls, low above-ground walls, or sites (Agnew
1990; Calarco 2000; Caperton 1990; Matsikure 2000). One
article provides a good description of the backfill design
used to protect earthen plasters (Silver, Snodgrass, and
Wolbers 1993), and two studies detail the reexcavation of
previously backfilled earthen plasters to evaluate the effec-
tiveness of burial (Chiari, Burger, and Salazar-Burger 2000;
Dowdy and Taylor 1993). Empirically it is understood that
burial is effective, and there is general agreement on the
types of materials to be used: salt-free, clean, fine sand or
vermiculite against a mural, or expanded clay pellets over
mosaics; sandy loam or other compactible material for the
main body of fill (also free of salt and organic matter); plas-
tic netting or geotextiles as horizon markers, stabilizers, fill
separators, or root barriers; perhaps rubber membranes or
less permeable fill on the top layer to prevent or reduce
moisture entry into the system; geodrains within the fill to
provide subsurface drainage if necessary; landscaping of
the fill to facilitate drainage; and revegetation with care-
fully selected native plants.
But it has been repeatedly noted that there are no real
data to support these assumptions, and that while backfill-
ing and burial may provide the optimum environment for
long-term preservation, guidelines and characterization of
that environment have not been established (Nordby, Taylor,
and Propper 1988; Podany, Agnew, and Demas 1994). The
purpose of backfilling or reburial is to stabilize the environ-
ment. How significant is the use of different types of fill or
different types of geotextile? Is it important to use fill similar
in composition and permeability to the natural fill at the site,
and is that a direct function of the amount of water present?
At what depth and at what rate is equilibrium achieved, or is
88 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
it achieved at all? Does the use of a less permeable layer
on the top of the fill reduce the amount of surface water infil-
tration or prevent the evaporation of groundwater? Does
it matter?
Future research should be directed toward quantifying
the effects of different backfilling materials and designs on
the archaeological remains and their effectiveness at stabi-
lizing the environment. This can only be done through
extensive monitoring of the pre- and post-burial environ-
ment, and the pre- and post-condition of the resource. Both
experimental earthen test wall programs and site-specific
studies can be used to collect this information. Other
research may compare a number of sites with similar envi-
ronments or with quite different environments. Distinc-
tions should also be drawn between temporary burial (e.g.,
between excavation seasons) and more permanent burial,
for which different kinds and amounts of backfill materials
and methods may be used. Perhaps the most rigorous, sci-
entific approach has been taken for investigating the burial
environment of waterlogged wood (Caple 1994 and [1996?];
Caple and Dungworth 1997; Corfield 1996 and 1998), and
the methodology employed in these studies could be used as
a model for investigating drier environments.
At some sites, walls may be only partially buried or
backfilled in order to protect parts of the resource while
allowing for visitation and interpretation. In addition to
the research outlined above, the publication of conserva-
tion and engineering studies into the effects of partial back-
fill and methods for mitigating the problems that arise
would also be of use. In particular, methods for reinforcing
earthen walls of varying construction and for reducing the
load on walls imparted by unequal levels of fill deserve
further study and elaboration.
Once a wall or a site is buried, it cannot be assumed
that all problems are solved. A monitoring and maintenance
plan is essential, the compass of which is determined by the
burial or backfill design. Demas and colleagues provide an
excellent example (Demas et al. 1996), but more must be
written on the design, implementation, and effectiveness of
such plans.
Site stabilization is closely allied to burial, and, in fact,
the stabilization of the burial fill may become an issue as
some sites age. The most common topics in the stabilization
literature are revegetation to control surface erosion and
more elaborate structural interventions to control stream
bank or shoreline erosion (Demas 1999; Koerner 1988;
Thorne 1999; U.S. Army Corps of Engineers, Waterways
Experiment Station, Environmental Impact Research Pro-
gram 1989). Although rarely describing an earthen site, the
literature is well developed and pertinent. Because the situ-
ation at each site is unique, it will be useful to continue pub-
lishing case studies, particularly of earthen archaeological
sites when possible.
Removal and Relocation
Architectural elements have been removed from sites under
the guise of archaeology since the birth of the field; impor-
tant fragments were frequently relocated to museum
settings. Earthen sites were, of course, more difficult to dis-
assemble and move than stone or other masonry, and
removal was largely confined to unique or valuable ele-
ments, such as painted murals, bas-reliefs, and other deco-
rated work. But with the growing recognition in the past
century that much of the value of an architectural element
lies in its context, along with improved methods for pre-
serving architectural elements in situ, removal is increas-
ingly rare and only practiced as a last resort.
But many archaeological sites are a complex stratigra-
phy of building periods or cultural periods or even different
cultures. After extensive documentation, destruction of
upper levels is often necessary in order to continue excava-
tion, reveal earlier levels of occupation, and understand
the history of the site. As an alternative to destruction, the
removal and relocation of architectural elements may be
possible. While there is ongoing research in the field, only
one publication was reviewed that presented the problems
and potential solutions of moving and relocating earthen
architectural elements larger or heavier than a decorated
surface finish (Chiari, Invernizzi, and Bertolotto 1993).
Further research and publications on the potential and the
practicability of this alternative are warranted.
Monitoring and Evaluation
The performance of past interventions is often used to define
and develop new conservation projects, but critical evalua-
tions of those interventions are published only rarely (Chiari
1990a and 1990b; Chiari, Burger, and Salazar-Burger 2000).
In addition to the monitoring and evaluation outlined above
for specific interventions, the publication of site-specific
treatment evaluations is warranted. As well, comparative
research should be conducted that evaluates a specific mate-
rial or intervention employed in a wide range of earthen
sites or climates or, conversely, that evaluates different types
of interventions applied in similar sites or climates. Such a

critical review of past research efforts would provide invalu-
able information and perhaps justify the trends, or illumi-
nate the misconceptions, of the field.
Maintenance
Although maintenance has been discussed for most of
the archaeological site interventions mentioned above, the
importance of designing, implementing, and periodically
evaluating a comprehensive site maintenance plan cannot be
overemphasized. Occasionally maintenance plans are pre-
sented or discussed in the literature (Brown, Sandoval, and
Orea M. 1990; Crosby 1983a and 1983b; Gamboa Carrera
1993; Reed et al. 1979), but considering the importance of
the topic, there is much more to say. Additional site-specific
studies would be welcomed, as would a critical and well-
documented assessment of existing maintenance plans for
earthen archaeological sites, with conclusions about why
they have or have not been successful in terms of preserva-
tion, management, and economics. At this point, most
archaeologists, conservators, and site managers are aware of
the importance of maintenance, but more distant managers
and funding agencies apparently are not. Well-documented
studies that stress the economic advantages of maintenance,
in comparison with the more common treat-and-abandon
approach, may help bolster arguments for increased legisla-
tive and financial support.
Education
The recognition of the importance of archaeological site
conservation has resulted in the development of philoso-
phy, policy, methods, and materials for achieving that end,
and thus has led to the increasing specialization of the field.
Education in the theory and practice of archaeological site
conservation is now paramount, in order to provide a
strong foundation for students and practitioners and, of
equal importance, in order to allow continued exploration
of the possibilities and the limits of the field. At existing
academic and training institutions, topics relating to the
conservation of archaeological sites might be added to or
expanded in the curricula; the special requirements of an
earthen site would form an important subtext. The devel-
opment of new curricula would apply not only to conserva-
tion and historic preservation programs but to archaeology
and anthropology programs and to specialized engineer-
ing and architecture programs as well. Short courses or
continuing education programs on regional or interna-
tional approaches to archaeological site conservation (such
Conservation of Earthen Archaeological Sites 89
as the PAT coursesthe Curso Panamericano sobre la
Conservacin y el Manejo del Patrimonio Arquitectnico
Histrico-Arqueolgico de Tierraheld in part at Chan
Chan, Peru) would benefit those already working in the
field. Increased efforts at education will facilitate the dis-
semination of information and the increased dialogue so
critical to the success of the field.
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Modified Earthen Materials
By Anne Oliver
Modified earthen materials are used to create more durable
mortars, patches, plasters, and renders, as well as new struc-
tural elements like adobe blocks. Modifiers may be inor-
ganic, natural organic, or synthetic organic materials, and
include additives like sand or fibrous materials that reduce
shrinkage (and perhaps increase strength and abrasion
resistance), stabilizers that reduce the reactivity of the com-
ponent clays through sorption, adhesives that bond soil par-
ticles together, hydrophobic materials that prevent water
from reaching the clays, and combinations thereof. Modifi-
ers may also affect other properties of the earthen material,
whether good or bad, such as color, reflectance, abrasion
resistance, compressive and tensile strength, rigidity, water
vapor permeability, and coefficient of thermal expansion.
Earthen materials have been modified for use in archi-
tecture since the earliest times, most commonly with the
addition of inorganic materials like sand, lime, and gypsum
but also with a wide range of natural organic materials.
Thus, many conservation interventions involve characteriz-
ing the original materials and replicating their composition
to the extent possible. Additional research and comparative
studies have provided a greater understanding of the physi-
cal, mechanical, and chemical properties of the modifiers
and modified soils. Following is an overview of the pub-
lished research relating to the development, execution, and
evaluation of modifiers and modified earthen materials, as
well as suggestions for future research to complement, sup-
plement, or redirect these efforts.
Published Literature
The published literature pertinent to modifiers and modi-
fied earthen materials is similar to that for nondecorated
earthen materials (see Conservation of Nondecorated
Earthen Materials, p. 108). However, publications that pro-
vide relatively comprehensive discussions of modified
earthen materials deserve notice. Books on new earth con-
struction provide thorough accounts of building materials
and methods, including both traditional and modern mod-
ifiers (Deng 1985; United Nations Centre for Human Settle-
ments 1986; Houben and Guillaud 1984 and 1994; Minke
2000; Smith 1982). More specifically, Viuales (1981) and
Warren (1999) discuss the use of modified earthen materi-
als for the repair of prehistoric or historic architecture. And
publications on soil stabilization from the fields of soil sci-
ence and engineering are also quite relevant, although
results must be carefully evaluated and adapted for use in
architectural conservation (Armbrust and Dickerson 1971;
Armbrust and Lyles 1975; Nelson and Miller 1992).
Characterizing and Duplicating Original Materials
Much recent research has focused on the characterization
and duplication of both original materials and original
methods of preparation, many of which involve modifiers.
Most publications present research into the historical use of
earthen materials in a specific location or region, whether
for the sake of historical knowledge (Chagas 1993; Deng
1985; Galdieri 1995; Gallego Roca et al. 1993; Menicali 1992;
rmek and Losos 1990; Steen 1971; Stevens 1985; Viuales
1981) or to advocate the continued use or revival of those
materials and techniques (Biancifiori 1994; Casal Iglsias
1990; Ceballos 1990; Cuch 2000; Minke 2000; Smith 1982;
Zhu 1985). And a few studies describe research and analysis
specifically designed to duplicate original materials and
methods of preparation for use in conservation interven-
tions (Alva Balderrama and Teutonico 1985; Mazar 1999;
Skibinski 1990a and 1990b). Such research is invaluable for
understanding history and culture and for designing inter-
ventions, and it should continue in the future. However,
research methodologies and analytical techniques are quite
variable, if indeed they are mentioned at all, often rendering
results incomparable or of uncertain value. The adaptation
of a standardized set of research and evaluation guidelines
97
98 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
(e.g., American Society for Testing and Materials 1990), and
the implementation of all or part of the guidelines as they
suit each project, would help to make diverse research proj-
ects more comparable and thus more useful to the field.
While the identification of inorganic modifiers is well
developed, and analytical techniques are easily adapted to
earthen architectural materials, identification of organic
modifiers is more problematic. Natural organic materials
break down over time and may be present only in trace
amounts or in altered forms, if at all, in aged materials.
Methods for identifying organic elements have been adapted
from other fields, and further development of these tech-
niques and their increased application to earthen architec-
ture would help to answer some historical questions and
substantiate accounts about the use of a wide and some-
times strange variety of organic materials.
Inorganic Modifiers
Inorganic products are by far the most common modifiers
for earthen materials. Sand is the most prevalent additive,
and it may affect many of the physical and mechanical prop-
erties of the soil, like color, texture, shrinkage, compressive
strength, resistance to erosion, and so forth. The effects of dif-
ferent grain size distributions, shapes, and proportions of
sand in relation to various types of clays have been relatively
well researched, and they deserve further consideration only
in unusual circumstances. Other inorganic modifiers dis-
cussed in the literature include gypsum (hydrated calcium
sulphate) and other salts, lime (calcium carbonate) and
hydraulic lime, cement, and magnesium hydroxide.
Gypsum has long been employed as a soil stabilizer that
chemically bonds with reactive clays and also creates a crys-
talline network that adds rigidity and strength; it is still
used in drier climates today. Warren (1999) provides a
review but, as he notes, There is no published understand-
ing of the performances of many different types of soil in
the presence of gypsum sulphate and its derivatives, partic-
ularly in respect of the different types of clays, whose crys-
talline behaviour is likely to be modified by even small
amounts of calcium sulphate capable of entering solution
(Warren 1999, 114). Several Chinese authors (Zheng 1985;
Zhu 1985) report the use of salt or salinized soils for rammed
earth construction to create more durable walls and roofs.
The salts are not identified, but they may be calcium sul-
phate. The use, role, and effectiveness of gypsum and other
salts as soil stabilizers, both in the past and in the future,
deserve further scrutiny.
Calcium carbonate also has a long history of use as a
soil stabilizer, whether through the intentional selection of
calcite-rich earths for construction or through the addition
of lime in its various manufactured forms (quicklime, lime
putty or hydrated lime, natural cement, or hydraulic lime). It
is less soluble than gypsum and is appropriate for use in
many parts of the world. Cement displaced lime for several
decades, but the recent predominance of reporting on lime
in the literature indicates a resurgence in its use, and lime is
perhaps the most commonly used stabilizer for earthen
architecture today. Several publications report on the use of
lime by ancient cultures (Deng 1985; Politis 1993), and War-
ren (1999) provides a more general discussion on its historic
and contemporary use and on the properties of lime as a sta-
bilizer for earth. Other articles are more site specific and
may evaluate different types of lime or other products as
potential stabilizers for a single soil (Matero 1996; Morales
Gamarra 1985) or evaluate the same type of lime for differ-
ent soils (Mendoa de Oliveira and Santiago 1993). For
earthen architecture, recommended proportions of lime are
usually 10% or less. The use of hydraulic lime is increasingly
popular; as a weak cement, it cures more quickly, cracks less,
is less sensitive to conditions of application and cure, and
thus is often more durable than quicklime or hydrated lime
(Gallieri 1993; Matero 1996; Palma Dias 1993; rmek and
Losos 1990). Other authors advocate the addition of pozzo-
lanic materials to calcium hydroxide (hydrated lime) to
create a hydraulic lime, which can then be used as a soil sta-
bilizer; pulverized fly ash (PFA) and brick dust are two such
additives (Baradan 1990, 1993a, and 1993b; Nelson and
Miller 1992; Warren 1999).
Also of great value, and usually of greater scientific
rigor, are publications on the use of lime as a soil stabilizer
for foundation and pavement engineering (Basma and
Tuncer 1991; Little 1987; Nelson and Miller 1992). Roth and
Pavan (1991) evaluate the use of both lime and gypsum sta-
bilizers for acidic tropical soils. An interesting article by
Martinez-Ramirez and colleagues presents the develop-
ment and testing of a new lime mortar (for stone) that
incorporates a biocide carried on sepiolite clay, and it may
have application to earthen materials threatened by biolog-
ical growth (Martinez-Ramirez et al. 1996). But in general,
the use and effectiveness of lime as a stabilizer for earth is
acknowledged and understood. Limited field testing is, of
course, necessary for each specific site, but a more compre-
hensive scientific evaluation of different manufactured
limes mixed with a wide range of clay types and grain size

distributions could help to define general guidelines for
the use of lime in particular situations. Admittedly, labora-
tory testing of nonhydraulic limes is often difficult because
of the time required for cure, but Mendoa de Oliveira,
Santiago, and dAffonsca (1990) report on a useful
system developed for the accelerated carbonation of lime-
stabilized soils.
Cement, portland cement in particular, has been a
popular soil stabilizer for the last fifty years. It is more
durable and less sensitive to conditions of cure than quick-
lime and hydrated lime and is stronger than hydraulic
lime. When used in high proportions, cement is incompat-
ible with earthen materials, and its color, hardness, and
lack of flexibility (which often leads to erosion of surround-
ing unmodified materials and cracking of modified mate-
rials) and soluble salt content lead to the failure of many
cement-stabilized soils. But these failures provide a better
understanding of the limitations of cement, and it is still
commonly used today, with good results, when used in
proportions ranging from 5% to 10% (Chiari 1985; Cuch
2000; Fagundes de Sousa Lima and Puccioni 1990; Olivier,
Mesbah, and Adam 1990; Palma Dias 1993), although pro-
portions up to 15% are advocated in certain instances
(Atzeni, Massidda, and Sanna 1993). Again, Warren (1999)
provides a good general discussion in relation to earthen
architecture and Nelson and Miller (1992) in relation to
foundation and pavement engineering.
Further research and experimentation with other inor-
ganic materials may lead to new alternatives for soil stabiliz-
ers. For instance, Xeidakis (1996a; 1996b) has reported in an
engineering geology journal on the potential of brucite
(magnesium hydroxide) as a stabilizer for a wide range of
clays. He states that magnesium hydroxide is internally
adsorbed while calcium hydroxide is not, and the former
produced more stable clays than the latter. However, a com-
bination of magnesium hydroxide and calcium hydroxide
produced the most stable clays, a finding that opens the field
not only to new materials but also to new combinations of
materials. In a study applied to new earthen architecture,
Burtea and Georgescu (1993) experimented with combina-
tions of primers (applied prior to mortars) and stabilized
earths to develop the optimum composition of mortar for
stabilized bricks in Romania. Primers included lime milk,
laitance, a mixture of cement and polyvinyl acetate, and a
mixture of cement, sand, and polyvinyl acetate. Soil mor-
tars were stabilized with cement, lime, and hydrated lime.
The concept of a primerparticularly when a new earthen
Modified Earthen Materials 99
material (e.g., a plaster or render) is applied over an old
earthen material and detachment is a potential problemis
an interesting topic that deserves further research.
Natural Organic Modifiers
As with inorganic modifiers, natural organic modifiers
have a long history of use. However, because many of these
materials are relatively fugitive and often cannot be detected
in weathered materials, information on their precise nature
and use is often more anecdotal than factual, particularly
when the tradition of using those materials has been lost.
Natural organic modifiers include fibrous additives like
straw, chaff, reeds, and hair; proven stabilizers like asphalt
and bitumen; postulated stabilizers like plant mucilage;
and water repellents like vegetable oils and animal fats.
Since the late 1980s, the use of natural organic resins and
oils as modifiers for new earthen materials has received
increased attention. They are attractive not only for func-
tional but for philosophical reasons, in that they may be
part of a past or present local tradition.
The bulk of the literature on natural organic modifiers
provides an overview of materials that reportedly have been
used in ancient cultures. Warren (1999) provides a general
summary of natural organic materials: bitumens and
asphalts; natural resins like copal, wallaba resin, shellac,
gum arabic, and rosin; plant oils like linseed oil; resins sus-
pended in plant juices (mucilage) made from the agave, tuna
cactus, locust bean tree, and banana plant; and animal
products like blood, dung, and termite saliva. Ceballos
(1990) reports the use of banana, coco, nopal, cactus muci-
lage, honey, milk, and rice starch in Guatemala. Deng (1985)
reports the use of oil, animal fat, and glutinous rice to add
water repellency to soils in China, and Palma Dias (1993)
cites the use of cow dung, oils, blood, and algae elsewhere.
Galdieri (1995) notes the historical use of straw, rice chaff,
reeds, goat hair, and bitumen in earthen construction, while
Smith (1982) mentions the use of blood, straw, and molasses
in New Mexico. Sengupta (1971) describes the ancient use of
bitumen for waterproofing in India. The most thorough
overview of a region is provided by Politis (1993), who
discusses soils and traditional stabilizers in the Jordan rift
valley: The most common is fibrous vegetable matter as a
tempering agent and soil stabilisers such as calcium carbon-
ates or asphalt [also ash]. Other additives whose properties
and attributes have not yet been clearly determined include
urine, animal and human hair, sap, animal blood, animal
milk and various plant juices (Politis 1993, 388).
100 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
One of the few articles to fully document and evaluate a
traditional natural organic modifier is provided by Bianci-
fiori (1994), who describes the manufacture and properties
of sarooj. This is a traditional plaster used in Oman for res-
toration, the manufacture of which involves taking clayey
earth, baking flat cakes in the sun, burying the cakes and
lighting a pyre of palm trunks, grinding the ash and clay
residue to form a powder, and then mixing this with water
to make sarooj. The end product is partly organic and partly
inorganic and is reportedly similar to a hydraulic cement
because the high firing produces calcium silicates. More
efforts of this nature are required to bring the use of natural
organic modifiers out of fable and into fact.
Asphalts and bitumens are extremely effective soil sta-
bilizers and have been used since ancient times; Warren
(1999) summarizes their use and properties, which are well
established. Asphalt- or bitumen-stabilized earths are very
common in new construction (Smith 1982; Warren 1999)
but less common as repair or preservation materials because,
even in very small proportions, the modifier discolors the
soil. In one instance, bitumen was proposed for use where
earthen repairs were masked behind stone facings (Orazi
2000), while in another instance an earthen render stabi-
lized with asphalt emulsion was applied as one of a number
of test panels (Taylor 1988; 1990). Objections center around
the discoloration rather than the performance of the mate-
rial, and research that leads to a lessening or neutralization
of the color change would be welcome indeed.
Much of the recent research on organic modifiers has
centered on the use of plant extracts, particularly cactus
mucilage. In Peru, earthen mortars modified with 5% tuna
cactus mucilage performed well after three years of weath-
ering, although later it was determined that retreatment
with mucilage was required twice a year (Hoyle 1990). A
good comparative study of earthen plasters modified with
cactus mucilage, pods from the locust bean tree, banana
stalks, and asphalt emulsion demonstrated that the mois-
ture resistance of the cactus plaster was comparable to a
plaster modified with 4% asphalt emulsion. The study also
established the optimum soaking time for the cactus, as
well as the optimum proportions of sand and straw (Here-
dia Zavoni et al. 1988; Vargas Neumann et al. 1988). Another
study that had less positive results compared earthen plas-
ters modified with 50% or 100% agave juice with plasters
modified with a wide range of other materials, including
acrylic emulsion, asphalt emulsion, and vinyl polymers
(Taylor 1988; 1990). Burned olive waste has also been evalu-
ated as an alternative modifier for earths (Attom and Al-
Sharif 1998). A number of publications from the fields of
soil science, soil biology, and agriculture provide insight
into the stabilizing effects of some plant extracts. In an agri-
cultural journal, Saag and colleagues have determined that
cactus mucilage is composed of polysaccharides, which have
a role in the storage of moisture in the cactus but which are
also known soil stabilizers (Saag et al. 1975). For instance,
scleroglucan, a fungal polysaccharide, has strong water-
stabilizing effects on kaolinite and montmorillonite (Chenu
1989; Chenu, Pons, and Robert 1987). Theng (1974; 1979)
also describes the stabilizing effects of polysaccharides. And
Politis, in his excellent overview of soils and traditional sta-
bilizers in the Jordan rift valley, points out that tempering
soil with fibrous vegetable matter such as grass, straw, or
even dung serves as an adhesive, binding adobe bricks
together, distributing cracking more evenly or even pre-
venting it altogether, and assists in evaporation of moisture
from the interior. The fermentation of these organic materi-
als induces certain microbial products like extravacellular
polysaccharides which are known to bind soils together
(Politis 1993, 389).
But a long list of questions must be answered before
the role of natural organic modifiers (excepting asphalts
and bitumens) in the preservation of earthen materials is
understood. For instance: Have they actually been used
historically in the ways reported? What are their chemical
compositions? What are the necessary or best methods of
preparation? How do the modifiers interact with different
types of clays and soils? How is their performance affected
by clay type or soil texture (grain size distribution)? How
long do they last, how do they deteriorate, and are they
cost-effective in relation to alternative materials? What are
the other natural organic modifiers that may be effective
but have yet to be considered? Given their potential effec-
tiveness, availability, and relatively low costin addition to
the philosophical appeal and the potential for continuing
or reviving local traditions and perhaps investing a com-
munity in its earthen architecturenatural organic modi-
fiers certainly deserve further scientific research into all
aspects of their properties and performance.
Synthetic Organic Modifiers
Synthetic organic modifiers are used in dilute proportions
in earthen mortars, patches, plasters, and renders to increase
durability. Their primary advantages are stability and long
life in comparison with natural organic materials, known

and controlled compositions, and the fact that they rarely
alter color or texture as asphalts, bitumens, and inorganic
modifiers do. Warren (1999) provides a very generalized
discussion of synthetic organic materials.
The most common and most successful synthetic
organic modifiers for earthen materials are acrylic emul-
sions, usually copolymers of ethyl acrylate, methyl meth-
acrylate, and/or ethyl methacrylate, that are diluted and
used in proportions of 15% or less to avoid undue changes in
soil properties, especially water vapor permeability (Atzeni,
Massidda, and Sanna 1993; Morales Gamarra 1985; Selwitz
1995). The emulsions may function as adhesives that bond
soil particles together, rather than binding through sorp-
tion and stabilization of reactive clays. The most thorough
examination of acrylic emulsions is contained in a mono-
graph by Hartzler (1996), who examines the use of acrylic-
modified earthen mortar for repairing sandstone masonry
walls, conducts laboratory analyses and characterization of
in situ mortars and proposed replacement mortars, and
makes recommendations for improvements to mortar
mixes. More studies like this, which thoroughly examine
and evaluate a soil modifier (or a consolidant or water repel-
lent or any other type of intervention) used for a specific
purpose (the requirements of a mortar may be different
from those of a render) are needed. Vinyl polymers, namely
polyvinyl acetate and polyvinyl alcohol, have also been used
as soil stabilizers, although most commonly in agricultural
or engineering contexts (Stefanson 1973; Theng 1979). For
the repair of earthen architecture, Hoyle (1990) reports the
use of wall caps made with soil and 5% or 10% polyvinyl
acetate.
A comparative study by Taylor (1988; 1990) examined
the long-term performance of modified earthen renders
applied to adobe test walls. Modifiers included acrylic
emulsion, a polyvinyl acetate/vinyl acetate-dibutylmaleate
copolymer, asphalt emulsion, agave juice, a latex acrylic,
and straw. The weathering patterns and erosion of the mod-
ified renders were visually compared with one another and
with an unmodified control over a period of twenty years,
with the acrylic-modified panel giving the most satisfac-
tory performance. Another comparative study conducted
by the U.S. Bureau of Reclamation and its Russian counter-
part also has relevance to earthen architectural materials.
Zhordania and colleagues stabilized soils with polyvinyl
acetate emulsion, acrylic copolymer emulsion, asphalt, and
urethane liquid and then evaluated their compressive
strength, resistance to water erosion, and resistance to
Modified Earthen Materials 101
weathering (Zhordania et al. 198283). The best laboratory
results were achieved with polyvinyl acetate, while in the
field, both polyvinyl acetate and acrylic emulsion per-
formed well. Urethanes gave the best resistance to weather-
ing, but toxicity was a problem. Comparative studies like
these are always interesting and useful, although they are
strengthened by an analytical evaluation of the function
and failure of each modifier (describing its interaction with
the soil and not just its external weathering characteristics)
and the precise methods for measuring change and deteri-
oration over time.
In soil science and engineering, polyacrylamides and
polyamides have also been used as soil stabilizers (Carpen-
ter 1986; Theng 1979); their applicability to earthen archi-
tecture requires further study. Several publications in soil
science also provide excellent explications of the interac-
tions of clays and organic materials, synthetic and natural
(Jasmund and Lagaly 1993; Lagaly 1984 and 1987; Theng
1974 and 1979; Tributh and Lagaly 1991). The process of
transfer and application of this knowledge to the preserva-
tion of earthen architecture has not been made, and it will
require close interaction among practicing professionals in
both fields, as well as an expansion in the education of new
conservators.
Monitoring and Evaluation
The published literature on monitoring and evaluating
modifiers and modified earthen materials is similar to that
for nondecorated earthen materials, and recommendations
for further research are the same (see Conservation of
Nondecorated Earthen Materials, p. 108). Again, the cre-
ation of and adherence to a set of guidelinesnot only for
monitoring and evaluation but for the selection and use of
a modifier in the first placewill help to prevent ineffective
or even harmful interventions and make the results of dif-
ferent projects comparable. For instance, the ASTM Stan-
dards on Soil Stabilization with Admixtures (American
Society for Testing and Materials 1990) outlines a complete
set of standard tests for the identification, analysis, and
evaluation of soils and the use of numerous admixtures
for stabilization. It provides specifications for inorganic
stabilizers and asphalt stabilizers, and one test provides a
comprehensive guide for the testing and evaluation of the
effectiveness of new modifiers for improving the engineer-
ing properties of soils. This might serve as a solid founda-
tion for a set of guidelines on selecting, monitoring, and
evaluating modifiers for earthen architectural materials.
102 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
Conclusion
A great number of modified earthen materials have been
proposed over the years for the protection of earthen walls,
and a few have been rigorously analyzed and evaluated. The
effectiveness of lime, cement, asphalt, bitumen, and acrylic
emulsions has been established conclusively in the field,
although different methods of preparing and applying the
modified materials, differences in soil composition, and
environmental conditions during and long after treatment
affect the durability of the interventions. But a wide range of
additional research projects could be designed to test other
modifiers, different application parameters, and different
weathering environments. While empiric, comparative
studies of several known modifiers are often all that can be
afforded by individual projects, there is a much greater need
for well-developed analytical and quantitative research
projects. Ideally, these would seek to limit all but one set of
variables at a time and would provide a thorough character-
ization and evaluation of modifiers and modified earthen
materials through time. As with interventions for nondeco-
rated earthen materials, once we have a better grasp of the
specifics, we can make more effective generalizations.
Conservation interventions are used and evaluated in
three sets of circumstances: in the laboratory, on test walls
constructed in the field, and in situ on original structures at
earthen sites. In much of the literature, some combination
of the three approaches is reported. But while laboratory
research and test walls are valuable and necessary for
understanding potential interventions and also for prevent-
ing the wanton application of unproven treatments to
ancient materials, there is often a discrepancy between the
results obtained when consolidants are applied to new (lab-
oratory) versus old (in situ) materials. This discrepancy may
be due to differences in the properties of new and aged
adobe, the heterogeneity of in situ materials, microclimates,
methods of application in uncontrolled conditions and on
irregular surfaces, and so forth. Further investigations into
the reasons for these differences may help improve the
design and results of laboratory research and experimental
test walls. For example, Binda and colleagues constructed
test walls, applied treatments, and subjected the walls to
artificial weathering modeled on a specific site (Binda et al.
1995). The treatments were then applied to the site, and
based upon those results, the design of the test walls was
adjusted to more accurately reflect the environment at the
site and thus render all subsequent tests more useful.
Soil composition and clay mineralogy must also be
considered in any study. For instance, the general parame-
ters of particle size distribution for a good adobe (50%75%
sand and 9%28% clay) are well understood, but slightly
different soil compositions may perform better with specific
modifiers. Certain acrylic emulsions perform best in soils
with at least 60%65% coarse sand and 10%15% clay (Hart-
zler 1996, 53). While most publications at least characterize
the soil composition, this usually is not connected in a
meaningful way with the selection and performance of the
interventions. Large gaps remain between soil science,
chemistry, and preservation; thus, professionals from each
field must work closely together to produce coherent publi-
cations that recognize the philosophy and limiting factors
of conservation, the potential of chemistry and polymer sci-
ence, and the complexity and reality of clay mineralogy.
Other modifiers that might be tested include new or
improved chemical products that have been adapted and
tested in the laboratory for their appropriateness for use, as
well as proprietary products specifically designed for use on
earthen materials. Natural organic materials deserve much
more investigation and research under controlled condi-
tions. And the role and effectiveness of natural and syn-
thetic fibers (straw, chaff, reeds, hair, nylon, etc.) require
further research.
Different preparation and application parameters could
also be tested, including variations in slaking or wetting
time of the modifier or modified soil; preparation and
prewetting of the substrate; conditions of cure (humidity,
temperature, duration); application techniques (smooth
troweling, rough troweling, hand application, sponge appli-
cation); and so forth. The variables to be tested would be
dependent on the properties of the modifier, including its
intended use. Whether the material is to be used as a mor-
tar, a structural element, a thin plaster, or a thick render will
play a critical role in determining its composition, method
of application, and long-term performance. Intensive moni-
toring of the microclimate in and adjacent to intervention
would provide insight at application and throughout the
process of deterioration.
Combinations of materials could be tested that incor-
porated the use of a stronger material at wall tops and bases,
where deterioration is often most severe, and a weaker mate-
rial (which would probably be more materially compatible)
on the wall faces. Another example is the use of two layers of
modified materials coatings, such as an acrylic-modified

soil followed by a hydrophobic spray (Selwitz 1995), a soil
slurry followed by a lime plaster (Rua, Rajer, and Mostacedo
1993), or a modified render with a large proportion of coarse
aggregate in the bottom layer (to reduce shrinkage crack-
ing) and a smaller proportion of aggregate in the outer layer
(to increase water repellency) (Heredia Zavoni et al. 1988).
Such treatments may initially be more costly but may pay off
in the working life of the intervention and in reduced main-
tenance costs.
The maintenance and retreatment of earthen architec-
ture with modified materials has received very limited
consideration in the literature (Hoyle 1990). Because conser-
vation is a specialized field, it is often outside consultants
who design and implement treatments for a site. While many
design a maintenance plan as well, they have very little con-
trol over its implementation and little opportunity to evalu-
ate its effectiveness. In some instances no maintenance
occurs, and this has obvious disadvantages. But most earthen
structures are maintained, and the impact this has on the
original materialsnot only physically but also aestheti-
cally, as different hands do slightly different things over
timerequires evaluation. Retreatment may involve the
application of the same materials or of entirely new materi-
als, and the extent to which the old treatment affects the new
is another field open for study.
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Conservation of Nondecorated
Earthen Materials
By Anne Oliver
Conservation interventions for nondecorated earthen
materials is a broad topic and encompasses much of the
preservation work conducted today. Nondecorated earthen
materials include all of the original components of an
earthen construction (e.g., adobe, clay lump, cob, rammed
earth, daub, and any associated mortar), excluding plain or
painted original plasters, renders, bas-reliefs, high reliefs,
and so forth, which might require specialized interventions
and which are discussed separately in the literature review
(see Conservation of Decorated Earthen Surfaces, p. 124).
Conservation interventions include cleaning and desalina-
tion and the use of grouts, consolidants, adhesives, and
surface coatings for treating original materials. They do not
include the use of admixtures or soil stabilizers for repair,
nor do they include interventions employed mainly at
archaeological sites, such as capping, shelter construction,
and reburial (see Conservation of Earthen Archaeological
Sites, p. 80). Following is an overview of the published
research relating to the development, execution, and evalu-
ation of interventions for nondecorated materials, as well
as suggestions for future research to complement, supple-
ment, or redirect these efforts.
Published Literature
Most of the published literature pertinent to interventions
for nondecorated earthen materials is contained in confer-
ence preprints and proceedings, most importantly in the
publications that arose from the series of international con-
ferences on earthen architecture held in Lima, Peru, in 1983
(ICCROM, Regional Project on Cultural Heritage and
Development UNDP/UNESCO, and National Institute of
Culture [Peru] 1985); Rome in 1987 (Rockwell et al. 1988);
Las Cruces, New Mexico, USA, in 1990 (Grimstad 1990);
Silves, Portugal, in 1993 (Alada 1993); and Torquay, En-
gland, in 2000 (English Heritage, ICOMOS-UK, and Uni-
versity of Plymouth Centre for Earthen Architecture 2000).
108
Additional relevant papers were written for more regional
preservation conferences (Ecole Nationale des Travaux Pub-
lics de lEtat, Vaulx-en-Velin, and Universit Jean-Moulin-
Lyon III 1987), for conservation conferences not specific to
earthen architecture or even architecture (particularly those
sponsored periodically by the American Institute for Con-
servation of Historic and Artistic Works [AIC] and the
International Institute for Conservation of Historic and
Artistic Works [IIC]), and also for conferences in allied
fields, particularly clay mineralogy, soil science, and geo-
technical engineering. But, as noted elsewhere in the litera-
ture review, conference preprints have inherent drawbacks.
They are generally not subjected to peer review, and fail to
provide adequate information about specific research so as
to make it relevant to the field at large and/or to make it
replicable.
General overviews of the field, ranging from brief arti-
cles to monographs, provide historical perspective and
summarize the established norms for the conservation of
nondecorated earthen architecture (Alva Balderrama and
Chiari 1984 and 1987; Chiari 2000; Stevens 1984 and 1985;
Stubbs 1995; Taylor 2000; U.S. National Park Service, Pres-
ervation Assistance Division, Technical Preservation Ser-
vices 1978; Torraca 1976; Viuales 1981). A number of books
also contain information specific to the preservation of non-
decorated earthen architecture (Ashurst and Ashurst 1988;
Bullock 1976; Clifton 1977; Menicali 1992; Skibinski 1991;
Torraca 1982; Warren 1999). Although relatively rare, site-
specific reports or in-depth case studies can provide a good
overview of the preservation philosophy and conservation
techniques employed, and sometimes provide an evaluation
of their effectiveness (CRATerre and Ecole darchitecture de
Grenoble 1989; Plenderleith, de Beaufort, Vote, and
ICCROM 1964; Chiari 1975). Publications related to train-
ing workshops in earthen architecture and site conservation
can also be useful (ICCROM, Regional Project on Cultural

Heritage and Development UNDP/UNESCO, and National
Institute of Culture [Peru] 1985).
Books on modern earthen construction often document
traditional technologies and describe materials, traditional
and otherwise, for repair and conservation (Centro de Inves-
tigacin de Tcnicas y de Materiales Autctonos y de Con-
strucciones Experimentales 1986; CRATerre and Doat 1983;
Universidad de Chile 1983; Houben and Guillaud 1984, 1986,
and 1994; Minke 2000), although interventions for new
earthen materials may not always be appropriate or effective
for aged materials. Books on clay mineralogy and soils can
provide comprehensive discussions not only on the proper-
ties of different clays and soils but on the interactions
between clays and organic polymers, of great relevance for
many of the treatments discussed here (Jasmund and Lagaly
1993; Nelson and Miller 1992; Theng 1974 and 1979; Tributh
and Lagaly 1991).
Professional journals devoted to the conservation of
cultural property provide a reliable and accessible forum for
the dissemination and discussion of conservation interven-
tions for nondecorated earthen architecture (e.g., APT Bul-
letin, Conservation and Management of Archaeological Sites,
Journal of the American Institute for Conservation, Journal
of Architectural Conservation, Studies in Conservation).
Because of the broad scope of these journals, relevant arti-
cles are published infrequently; the exceptions are special
issues devoted to the subject of earthen architecture (e.g.,
CRM 22, no. 6 [Barrow and Taylor 1999]). Scientific jour-
nals from related fields, particularly soil science, clay min-
eralogy, hydrology, and geotechnical engineering, may also
contain pertinent information or articles (Armbrust and
Dickerson 1971; Armbrust and Lyles 1975; Murphy 1982).
Other important resources are bibliographies that focus
on earthen architecture (Barnes 1975; George 1973; ICCROM
1981; Getty Conservation Institute 2002; Odul 1993). Also of
potential utility is the Gaia Project Research Index (Dassler
et al. 1993), a database of current research projects in the
field of earthen architecture that is maintained at ICCROM.
Cleaning and Desalination
All aspects of the cleaning and desalination of nondeco-
rated earthen materials require further research. No refer-
ences to cleaning were noted in the published literature
(aside from references to removing biological growth, which
are discussed elsewhere), which begs the question: Is it ever
necessary to clean earthen materials? Does dirt get dirty?
One example might be at archaeological sites. The boundary
Conservation of Nondecorated Earthen Materials 109
between original material and subsequent fill is usually
clear, and accretions of fill can be carefully removed by
hand, but in some instances encrustations have formed, and
it may be desirable to remove them.
The accumulation of soluble salts is a much more com-
mon, almost pervasive, problem. While the mechanisms of
salt decay and drainage methods to prevent the accumula-
tion of additional salts are well reported (and discussed else-
where in the literature review), only three articles mentioned
methods for removing existing salts. Removal methods
included manually brushing and cleaning surface deposits
and applying various poultices to extract subsurface salts
(for decorated surface finishes, Silver 1990 and Silver,
Snodgrass, and Wolbers 1993) and leaching salts by sprin-
kling the walls with water (for nondecorated materials,
Plenderleith, de Beaufort, Vote, and ICCROM 1964). Meth-
ods for removing salts from stone are better researched, but
these are usually water-based methods and are not always
directly transferable to earthen materials.
Where salts are present in earthen materials, deteriora-
tion is often advanced, and consolidation is necessary prior
to any attempts at desalination. What are the effects of salts
on the performance of consolidants, do the consolidants
immobilize the salts, or is desalination possible after con-
solidation? These questions have been researched for alkoxy
silanes and acrylics used for stone conservation, but they
deserve further attention in relation to other conservation
materials and in the context of earthen architecture.
Grouts
The development of cracks and voids in earthen architecture
is most often the result of damage from water infiltration,
wall settlement, or seismic activity. It is a common problem
and one of the most threatening deterioration conditions
because it may compromise structural integrity. To address
the problem, the compromised areas may be dismantled and
reconstructed, or alternatively, a mechanical system may be
installed to provide structural reinforcement. Grouts may
be used to fill the cracks or cavities and reintegrate the origi-
nal components of the structure, and they can be used alone
or to supplement a mechanical system.
Cracks and cavities are pervasive, but the literature on
grouts for nondecorated earthen materials is quite limited.
Thus, it probably does not reflect the amount of work being
conducted in the field. In contrast, the literature on grouts
for decorated surfaces (plasters, renders, murals) is more
extensive. In most instances, grouts must be lightweight to
110 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
reduce the load on the bond between surface finish and sub-
strate. They may also be required to create a bond between
dissimilar materials (e.g., a lime plaster and an earthen sub-
strate). Grouts for decorated surfaces are discussed in Con-
servation of Decorated Earthen Surfaces (p. 124).
Warren (1999) provides a general summary of grouts
for earthen materials and states a strong case for the use of
pulverized fly ash. The literature also discusses grouts for
nondecorated materials developed to address a problem at a
specific site. While the basic properties of grout were com-
monly accepted (low water content, adequate thixotropy, low
shrinkage, low soluble salt content, mechanical properties
similar to original material, no settlement prior to setting),
the specific composition of the grout was the focus of each
study. In each case the solution was similar: the grout was
composed primarily of soil with the addition of a stabilizer
to reduce shrinkage, increase strength, and possibly promote
adhesion. Stabilizers included bentonite and lime (Fagundes
de Sousa Lima and Puccioni 1990), hydraulic lime (Nardi
1986), lime and fly ash (Roselund 1990), and a very fine-
grained and stable mercula clay (Sharma, Gupta, and Kan-
otra 1995). In all cases the grout was equal to or slightly
greater in hardness than the original earthen material. A
technique for grouting was well elaborated in one publica-
tion (Roselund 1990), and practices are probably rather uni-
form: fine cracks are filled with syringes, while larger cracks
and voids are filled with a low-pressure pumping system.
But the effectiveness of grouts for the repair of earthen
architecture deserves further evaluation. One purpose of a
grout is to fill cracks and voids in order to prevent further
infiltration and damage by water, and this it usually does.
But often another purpose is to reestablish structural integ-
rity by readhering the separated parts of the structure.
Research into the degree of adhesion between grouts of vary-
ing composition and the original earthen material would be
useful, as would research into methods for improving adhe-
sion by prewetting, whether with water, polar or nonpolar
organic solvents, surfactants, or adhesive substances like
acrylic emulsion. An evaluation of the long-term effective-
ness of grouts would also be of interest, particularly in situa-
tions where the cause of the problem (e.g., seismic activity)
was not removed or could not be removed.
Consolidants
As defined by Warren, A consolidant acts at the near-mo-
lecular level by fixing or inhibiting the capacity for move-
ment between very small particles, thereby altering the
characteristics of the material in terms of its behaviour, par-
ticularly in the presence of water. It tends to make the mate-
rial stronger in compression and tension, and may affect
inherent characteristics such as heat and sound transmis-
sion and rigidity (Warren 1999, 127).
Consolidation is the most widely discussed and stud-
ied treatment for nondecorated earthen materials (exclud-
ing the use of admixtures and soil stabilizers, discussed
elsewhere). Consolidants for earthen materials that are
mentioned in the literature can be grouped into three broad
categories based upon the chemical composition of the raw
materials from which the end product is derived: inorgan-
ics (alkaline silicates), natural organics (plant mucilage),
and synthetic organics (alkoxysilanes, acrylic resins, vinyl
acetate polymers, epoxy resins, polyurethanes).
Water, often in combination with soluble salts, is typi-
cally the cause of the granular disintegration that consoli-
dants are used to treat. With historic or inhabited earthen
buildings, it is usually possible to reduce the impact of water
by maintaining or modifying roofs, foundations, and drain-
age systems and by renewing protective plasters or renders.
Thus, consolidants are primarily used for earthen archaeo-
logical sites and ruins, where roofs, foundations, drainage
systems, plasters, and renders may be compromised or
absent. In addition, the structures may be partially or fully
subterranean or may be constructed into a cliff face or rock
outcrop. At such sites, the success of a consolidation treat-
ment is a complex function of the properties of the consoli-
dant itself, the composition and clay mineralogy of the
earthen material, and the degree to which the treated mate-
rial can be separated from the causes of deterioration. In the
exposed and relatively uncontrolled environment of an
archaeological site, the long-term performance of a consoli-
dant is highly variable.
Inorganic Consolidants
The use of inorganic materials for the consolidation of earth
is limited to alkaline silicates (Dayre and Kenmogne 1993;
Huang et al. 1990; Li 1990; Taylor 1988 and 1990). Warren
provides a good summary:
For consolidation, potassium silicate is preferred
to the cheaper but similar sodium silicate because
it does not produce surface scum or efflorescence.
Although success in its use as an earth consoli-
dant has been described, it is clear that the process
depends on careful and knowledgeable execution
backed by skilled analysis. The results have yet to

be proven by extensive field trials and sustained
weathering. The methods of application are
straightforward and the materials are simple and
readily available. Furthermore they produce in
the consolidated earths an inorganic structure
comparable to the formation of the soils them-
selves without the inherent problem of complex
organic compounds liable to biological attack and
breakdown. . . .
[But] promising results have only been
obtained under carefully calculated conditions
of material preparation and circumstances of
application. For some time to come the process is
likely to be confined to significant archaeological
material where the work is supported by a fully
equipped laboratory service, as the results are
dependent upon careful control and the determi-
nation of precise molar ratios in the solutions.
(Warren 1999, 120)
Natural Organic Consolidants
Since the late 1980s, the use of natural organic resins and
oils as consolidants, surface coatings, or additives to new
earthen materials has received increased attention. They are
attractive not only for functional but for philosophical rea-
sons, in that they may be part of a past or present local tradi-
tion. As Warren notes, The relevance [of this new interest]
is not so much in the availability of the material itself but in
the circumstance that the conservator chooses to use tradi-
tional methods in conservation operations and seeks to
apply modified native lore to the repair of vernacular build-
ings (Warren 1999, 130). A wide variety of natural organic
materials have been proposed or applied to earthen materi-
als, including bitumens and asphalts; natural resins like
copal, wallaba resin, shellac, gum arabic, and rosin; plant
oils like linseed oil; resins suspended in plant juices (muci-
lage) made from the agave cactus, tuna cactus, locust bean
tree, and banana plant; and animal products like blood,
dung, and termite saliva (Heredia Zavoni et al. 1988; War-
ren 1999). Most of these materials are used as surface coat-
ings or additives for new earthen materials (see Modified
Earthen Materials, p. 97).
The only natural organic material to undergo scientific
evaluation for use as a consolidant for in situ materials is
cactus mucilage (Beas Guerrero de Luna 1993; Hoyle 1990).
Consolidation appears adequate, and other changes in
the properties of the earthen materials are minimal. But
Conservation of Nondecorated Earthen Materials 111
the treatments may age very rapidly and thus require fre-
quent retreatment and a great investment of time. Given
their potential effectiveness, availability, and relatively low
costin addition to the philosophical appeal and the
potential for continuing or reviving local traditions and
perhaps investing the community in the earthen architec-
turenatural organic consolidants certainly deserve fur-
ther scientific research into all aspects of their properties
and performance.
Synthetic Organic Consolidants
No product satisfies all of the criteria for an ideal consoli-
dant, but the alkoxysilanes arguably come closest (Alva
Balderrama and Chiari 1984 and 1987; Chiari 1985 and
2000; Viuales 1981; Warren 1999). Depending on chemical
composition, alkoxysilanes may function as consolidants,
water repellents, or both; their primary limitation is that
they cannot consolidate grains larger than coarse sand. In
the beginning, Professor A. V. Hoffman in 1861 proposed
to a meeting of architects in London the use of silicic ether
for the conservation of stone. The material remained rare for
half a century until its use for stone consolidation was pat-
ented in 1926. Its use in earths has taken place since World
War II (Warren 1999, 121). Under the advocacy of Giacomo
Chiari and others, alkoxysilanes have been used on earthen
materials with increasing frequency since the late 1960s.
The literature amply reflects this: of the fifty-three publica-
tions pertaining to consolidation that were reviewed, forty-
five discussed the use of alkoxysilanes as a past, present, or
future treatment. And in the past thirty years, the most
commonly used products have been tetraethoxysilanes
(ethyl silicate and poly[ethyl silicate]), which consolidate,
and methyl trialkoxysilanes (methyl triethoxysilane and
methyl trimethoxysilane), which both consolidate and pro-
vide water repellency. Grissom and Weiss (1981) have
compiled a fully annotated bibliography on the use of alkox-
ysilanes for art and architecture conservation from 1861
through 1981; it pertains mainly to stone, but earthen mate-
rials are also mentioned. A more topical discussion of alkox-
ysilanes and many other consolidation treatments for
earthen materials is provided by Warren (1999).
Because of their proven effectiveness and widespread
use, alkoxysilanes serve as the standard by which other
treatments are judged. Nearly all of the research publica-
tions compare the performance of alkoxysilanes with one or
more alternative consolidants: alkaline silicates (Dayre and
Kenmogne 1993), acrylics (Beas Guerrero de Luna 1993;
112 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
Helmi 1990; Morales Gamarra 1985), diisocyanates (Agnew,
Preusser, and Druzik 1988; Agnew 1990; Coffman et al.
1990; Coffman, Selwitz, and Agnew 1990; Coffman, Agnew,
and Selwitz 1991; Selwitz, Coffman, and Agnew 1990), vinyl
acetates (Hoyle 1990; Morales Gamarra 1985), soluble nylon
(Morales Gamarra 1985), and natural organic materials,
primarily cactus mucilage (Beas Guerrero de Luna 1993;
Hoyle 1990). The consolidants and the consolidated earths
are usually tested for one or more critical properties: depth
of penetration, evenness of distribution and linking, effec-
tiveness with a specific clay type or grain size distribution,
porosity and permeability, water absorption, resistance to
water, resistance to salt, tensile and compressive strength,
ease and practicability of application method, aging, and so
forth. While alkoxysilanes do not always produce the stron-
gest, hardest, most weather-resistant earths, they are com-
monly deemed the most effective treatments because they
are the most compatible with earthen materials.
Researchers have also focused on the use of alkoxysi-
lanes in combination with one another and with other
materials, whether in sequential applications or in mix-
tures. Applications have included consolidation and hydro-
phobization with a mixture of ethyl silicate and methyl
triethoxysilane (Chiari 1988); consolidation with ethyl sili-
cate and readhesion with an acrylic polymer (Chiari,
Burger, and Salazar-Burger 2000); consolidation with alka-
line silicates followed by consolidation and hydrophobiza-
tion with methyl triethoxysilane (Huang et al. 1990);
consolidation with ethyl silicate or a mixture of ethyl
silicate and methyl triethoxysilane followed by the applica-
tion of an acrylic-modified earthen render and a water
repellent (Selwitz 1995); and consolidation with acrylic
polymers followed by consolidation and hydrophobization
with alkoxysilanes (rmek and Losos 1990).
Acrylic resins are commonly used as adhesives, but in
several instances they have also been used as consolidants
for earthen materials. Those used for consolidation include
copolymers of ethyl methacrylate and methyl acrylate, sold
as Acryloid or Paraloid B-72 (Morales Gamarra 1985;
rmek and Losos 1990); butyl methacrylate, sold as Acry-
loid or Paraloid B-67 (Beas Guerrero de Luna 1993); and
copolymers of methyl methacrylate and butyl acrylate
(Helmi 1990; rmek and Losos 1990). Acrylic dispersions,
primarily ethyl acrylate/methyl methacrylate copolymers
(sold as Primal AC-33 and Rhoplex E-330), have also been
used as consolidants (Koob, Rogers, and Sams 1990; Morales
Gamarra 1985), although they have more commonly been
used as additives to new earthen materials. Most of the stud-
ies report either that acrylics were ineffective consolidants
or that alkoxysilanes were more effective. Because acrylic
molecules are large, resins must always be applied in very
dilute solutions of organic solvents to achieve adequate
depth of penetration, but they must also be applied in suffi-
cient concentrations to ensure consolidation. As well, the
physical and mechanical properties of acrylics are quite dif-
ferent from those of earthen materials, and acrylic polymers
must be applied in sufficiently low concentrations to limit
changes in the properties of the earthen materials, particu-
larly color and reflectance, vapor permeability, and thermal
properties. However, rmek and Losos (1990) report good
consolidation and good depth of penetration of an acrylic
polymer (at least 7 cm) at 5% in xylene. In situ polymeriza-
tion of acrylic monomers is another option (Warren 1999).
Further research and manipulation of acrylic systems may
result in good consolidants that are stronger than alkoxysi-
lanes. But it will be difficult to surpass the ease, availability,
relatively low cost, and consistent performance of alkoxysi-
lane treatments under a wide variety of conditions.
Polyvinyl acetate has received only limited use for the
consolidation of earthen materials, and with poor results
(Hoyle 1990; Morales Gamarra 1985). But Theng (1979), in a
book on the formation and properties of clay-polymer com-
plexes, states that polyvinyl alcohol and polyacrilamide are
good stabilizers for soil, probably as admixtures for new
materials rather than consolidants for in situ materials.
Acrylic and polyvinyl resins are ineffective for the con-
solidation of damp or wet materials, but alkoxysilanes
(Chiari, Rigoni, and Joffroy 1993) and epoxies have been
used with reportedly good results (Binda et al. 1995; Kwiat-
kowski 1984). In an interesting corollary that may have
implications for consolidating damp or wet earths, Murphy
(1982) studied three methods of water removal prior to
impregnation with a resin for image analysis. Acetone
replacement of soil water was the best method for prevent-
ing contraction and shrinkage of pores during drying, and
thus preventing subsequent difficulties with resin
impregnation.
An extensive and carefully designed research project
examined the use of diisocyanates and alkoxysilanes for
the consolidation of adobe walls (Agnew, Preusser, and
Druzik 1988). Preliminary laboratory research involved
the application of the consolidants to samples of adobe
from around the world and to manufactured soils, which
resulted in the conclusion that clay mineralogy and grain

size distribution play significant roles in the effectiveness
of the treatments (Coffman et al. 1990; Coffman, Selwitz,
and Agnew 1990; Coffman, Agnew, and Selwitz 1991). Test
walls were constructed at Fort Selden, New Mexico, USA,
and were consolidated with diisocyanates and alkoxysi-
lanes of various concentrations and by different methods of
application. The walls were then subjected to accelerated
weathering and were carefully monitored (Agnew 1990;
Selwitz, Coffman, and Agnew 1990). Although it is not yet
finalized, the general conclusion appears to be that diiso-
cyanates consolidate as well or better than alkoxysilanes,
producing a wall of nearly rock-like hardness, but only with
specific clay mineralogies and specific (and perhaps prob-
lematic) methods of application. Whatever the ultimate
results, the comprehensive nature and rational methodol-
ogy of the study are among its most important aspects.
Research projects of this nature are rare because of the
great investment of time and money required, but efforts
should be made to sponsor more such studies to answer a
well-formulated set of questions in a very thorough way.
General Comments
It has been amply demonstrated that consolidants, espe-
cially alkoxysilanes, work well in a wide range of situations
and in a variety of combinations, but research projects are
difficult to compare because the same baseline information
is not provided, treatment methods are not adequately
described, and evaluation criteria and methods vary widely.
The common type of ad hoc research on these materials has
reached the end of its useful life. The creation of a standard-
ized set of research guidelines (a sort of expanded set of
ASTM or RILEM tests) and the implementation of all or
part of the guidelines as they suit each project would help to
make diverse research projects more comparable and thus
more useful to the field. Guidelines might vary for projects
conducted in the laboratory, on test walls, and in situ, but
not greatly.
The role of the solvents that are used to carry consoli-
dants is often not considered in conservation research and
interventions. Admittedly, there is little choice of commer-
cial products, and the specialized knowledge necessary to
create a mixture with alternative solvents is often not avail-
able. Warren (1999) provides a good general discussion of
solvents, but more specific research is necessary into the
performance of the same consolidant used with different
solvents on different types of clays and soil mixtures.
Conservation of Nondecorated Earthen Materials 113
The preexisting condition of an earthen material, the
microclimate in and around it, and the conditions of appli-
cation during treatment impact the initial effectiveness and
long-term durability of the consolidant. For example,
Chiari, Rigoni, and Joffroy (1993) investigated the applica-
tion of ethyl silicate in damp conditions and determined
that the consolidant works well when applied to dry mate-
rial that subsequently gets wet, but it is less effective when
applied to wet material. High concentrations of soluble salts
may also render treatments with alkoxysilanes less effective
(Kumar and Price 1994). In another example, conditions of
application were modified, and surface migration of a con-
solidant was controlled by wrapping walls in gauze wetted
with glycerine (Huang et al. 1990). But the impacts of preex-
isting conditions, microclimate, and application conditions
deserve further research.
The way in which consolidants age and fail in earthen
materials is not well researched. Attempts to evaluate in situ
performance are few and are confined to the alkoxysilanes,
and they rely almost entirely on visual observations (Chiari
1990a and 1990b; Chiari, Burger, and Salazar-Burger 2000).
Several laboratory studies have gone further by examining
the degree of hydrolysis of alkoxysilanes over a period of
four years (Lewin and Schwartzbaum 1985) and examining
changes in microstructure with scanning electron micros-
copy over a period of sixteen months (Chiari 1988). But as
researchers point out, estimates of loss of strength and effec-
tiveness are difficult because laboratory and field conditions
are not the same. By identifying the rate and manner in
which consolidants fail under various circumstances, it may
be possible to modify critical materials and conditions and
thus prolong the life of the treatment. As well, the impacts
and effectiveness of retreatment with the same consolidant
or another conservation material are very poorly researched
and deserve further investigation, particularly as the numer-
ous treatments applied over the past thirty years continue to
fail in the coming years.
Adhesives
Chemically, there is no clear boundary between a consoli-
dant and an adhesive. A very dilute adhesive materiale.g.
an acrylic resin in organic solventsmight be termed a con-
solidant, while the same material in a less dilute form might
be termed an adhesive. The difference is largely functional:
an adhesive is used to bridge gaps between grains larger
than coarse sand, and it may be used to consolidate
extremely friable earthen materials (where a consolidant
114 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
would be ineffective), to bridge a narrow crack, or to bridge
a void in order to reattach one sound piece of earthen mate-
rial to another. In contrast, a consolidant acts at a near-
molecular level to penetrate deeply and fix grains smaller
than coarse sand. The use of adhesives is common on stone
and fired masonry but is a relatively rare and often inappro-
priate treatment for nondecorated earthen materials. The
materials are inherently weak, and an adhesive might bond
only a very narrow margin of earthen material to a very nar-
row margin on the other side. The adhesive would solve the
immediate problem of detachment, but the surrounding
material would be prone to shear around the repair. In such
circumstances, more structural interventions are required,
such as mechanical systems that provide support for the
mass of material. The use of adhesives as consolidants is
limited to special circumstances, because the high adhesive
concentrations required tend to cause unacceptable changes
in the properties of the treated material, which may also
affect the weathering of the surrounding untreated mate-
rial. Understandably, adhesives are much more common
with decorated surfaces where a thin layer is readhered to a
more massive substrate or where consolidation of highly
friable materials is imperative (see Conservation of Deco-
rated Earthen Surfaces, p. 124).
Surface Coatings
Surface coatings for nondecorated materials can be catego-
rized as either hydrophobic materials, sealers, or sacrificial
coatings, but their fundamental purpose is the same: to
increase the water resistance of earthen materials. As with
consolidants, surface coatings can be divided into inor-
ganic, natural organic, and synthetic organic materials.
Products may be transparent or opaque, but in most cases
they are extremely thin, pellicular layers that are contained
at the surface of the earthen materials. Sacrificial coats like
lime-based and cement-based renders may be somewhat
thicker. Surface coatings are attractive because they pre-
serve the physical appearance of the earthen materials and
do not greatly obscure the articulation of the aged material.
Books on new earthen construction provide the most
complete discussion of surface coatings and present both
traditional and modern products, the advantages and dis-
advantages of those products, different application and fin-
ishing techniques, methods for testing coatings, and so
forth (Houben and Guillaud 1984, 1986, and 1994; Minke
2000). But weathered material behaves quite differently than
does new material, and the information in these books must
be used with caution or even disregarded in some instances.
Unfortunately, the body of information on surface coatings
for weathered earthen materials is less organized and
incomplete, presented largely as case studies in conference
proceedings or journal articles.
Inorganic materials like lime, gypsum, and cement are
commonly used as sacrificial coatings. Lime and, to a lesser
extent, gypsum are traditional coatings in many parts of
the world, and their past use for both plasters and white-
washes has been well documented (Boxall and Trotman
1996; Mold 2000; Houben and Guillaud 1986; Stevens 1985;
Zhu 1985). Many additives can and have been incorporated
in these materials to strengthen or alter specific properties;
these include linseed oil, tallow, skim milk, whey, casein
glue, animal glues, and mineral fillers (Houben and Guil-
laud 1986). Lime and gypsum were displaced to a large
degree by the advent of cement-based coatings in the twen-
tieth century, but the failings of this material are well
known, and lime especially has seen a resurgence in recent
years (Dayre and Kenmogne 1993; Mold 2000; Rua, Rajer,
and Mostacedo 1993). Nardi (1988) reported great success
with a sacrificial slurry coating of limewater and sifted clay.
Alkaline silicates have also been tested as surface coatings
(Taylor 1988 and 1990).
Natural organic coatings have a long history of usein
particular linseed oil, asphalts, and bitumens (Taylor 1988
and 1990; Warren 1999). The latter were originally applied
as hot tars, then as cold tars in solvents, and currently as
water emulsions compatible with the cold tar base (Warren
1999, 129). Natural resins (copal, wallaba resin, shellac, gum
arabic, and rosin) and resins suspended in plant juices
(mucilage made from the agave cactus, tuna cactus, locust
bean tree, and banana plant) have also been used or pro-
posed, although whether as surface coatings or as additives
to new earthen materials is not always clear (Casal Iglesias
1993; Heredia Zavoni et al. 1988; Warren 1999).
In the past thirty years, a wide range of synthetic
organic surface coatings has been tested on earthen materi-
als, and treatment histories at some sites provide a vivid
illustration of the evolution in theory and products (Rob-
bins 1983). The trend has been away from sealants and
toward breathable water repellents and sacrificial coatings.
The most widely used and effective water repellents over a
range of conditions are the alkoxysilanes, which may be
applied as water repellents or as part of a consolidantwater
repellent mixture (Wacker or Conservare Stone Strength-
ener H) (rmek and Losos 1990). An aqueous acrylic-

fluoric dispersion has also been tested (Skibinski 1990a;
1990b), as have commercially available acrylic and polyvinyl
acetate dispersions (Taylor 1988; 1990). For sacrificial coat-
ings, several experimenters have employed a latex or acrylic
modified soil slurry, which is sprayed in a very thin coat over
the earthen material (Ferm 1990) and perhaps then sprayed
with an alkoxysilane water repellent (Selwitz 1995).
But as Warren notes, although the use of synthetic res-
ins has been studied and documented, no researcher
would claim that the use of synthetic resins in conservation
of earth structures is at other than an early stage of study
(Warren 1999, 131). Empirical observations are certainly of
value, and two such studies have extensively evaluated the
performance of a range of surface coatings on test walls
(Dayre and Kenmogne 1993; Taylor 1988 and 1990). But
there is no published scientific information describing the
physical and chemical interactions between earthen mate-
rials and surface coatings used for conservation, particu-
larly natural and synthetic organic materials. Books from
the soil sciences on the interaction of clays and organics
provide a solid foundation (Theng 1974 and 1979; Tributh
and Lagaly 1991), but this information needs to be distilled
and applied more directly to the conservation of aged
earthen materials.
Understanding the interactions of clays and soil struc-
tures with both organic and inorganic materials is funda-
mental to evaluating the existing array of surface coatings,
improving their performance, and developing new alterna-
tives. Also, unusual surface treatments that have been devel-
oped for stone conservation might find application for
earthen materials, including reaction inhibitors for reactive
clays and crystal growth inhibitors to reduce the damage
caused by soluble salts (Price 1996). And while many pro-
tective coatings are not appropriate for use as long-term
coverings for standing adobe walls, a few might have other
applications that should be considered (e.g., for temporary
protection of archaeological excavations).
Variations in preparation and application parameters
also require research, including variations in slaking or wet-
ting time of the surface coating; preparation and prewetting
of the earthen substrate; conditions of cure (humidity, tem-
perature, duration); application techniques (smooth trowel-
ing, rough troweling, hand application, sponge application,
spray application, bulk infiltration); and so forth. The vari-
ables to be tested would be dependent on the properties of
the surface coating. Intensive monitoring of the microcli-
mate in and adjacent to the area under investigation would
Conservation of Nondecorated Earthen Materials 115
provide insight at application and throughout the process of
deterioration. And maintenance of surface coatings is criti-
cal because they are so thin, although this is often over-
looked. Thus the effects of retreatment with both the same
and different materials, particularly the organics, become
important, and there is no research to date that addresses
this issue.
Monitoring and Evaluation
Monitoring and evaluation are critical to assessing the effec-
tiveness of a conservation treatment and determining the
need for maintenance or retreatmentand also perhaps for
rationalizing the permanent alteration of original materials
and justifying cost in general. But monitoring and evalua-
tion are often not constructed into a project design, or are
only pursued for a few years until more pressing concerns
arise. In many cases, an intervention is monitored only
once, many years after treatment, when only the fact of fail-
ure and not the process can be noted. Test walls are often
better monitored, or at least more regularly, because the
process is built into the project design, and results are criti-
cal for answering the research questions that are being asked
(Agnew 1990; Dayre and Kenmogne 1993; Selwitz, Coff-
man, and Agnew 1990; Taylor 1988 and 1990).
Most monitoring programs for treated areas involve
periodic visual assessment and perhaps photographic
recording, often in comparison with untreated areas (Agnew
1990; Chiari 1990a and 1990b; Chiari, Rigoni, and Joffroy
1993; Chiari, Burger, and Salazar-Burger 2000; Dayre and
Kenmogne 1993; Hoyle 1990; Selwitz, Coffman, and Agnew
1990; Taylor 1988 and 1990). A few efforts have also been
made to quantify performance by measuring erosion from
pins set in the walls (Agnew 1990; Taylor 1988 and 1990) or,
potentially, by using a laser sensor to record wall profiles
(Binda et al. 1995). But in general, monitoring and evalua-
tion must become more quantitative and thus allow com-
parisons among monitoring times and among different
places. Research into simple but accurate and relatively non-
destructive methods for doing this is recommended. Under-
standably, in-depth monitoring and evaluation cannot be a
part of every project, but a few research projects that
thoughtfully assess the effectiveness of various monitoring
and evaluation systems would serve the field well.
Monitoring focuses on whether the intervention is
working, but an equally important question is why. Most
evaluations simply correlate rates of erosion with environ-
mental factors, and while this is important, there is much
116 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
more to learn about physical and chemical changes in the
treated earthen material. Scanning electron microscopy
(SEM) has been used to evaluate the physical change in
treatments over time (Chiari 1988; Hartzler 1996; Lewin
and Schwartzbaum 1985), and the environmental scanning
electron microscope (ESEM) may prove an even more use-
ful tool (Doehne and Stulik 1990; 1991). The evaluation of
aging of conservation interventions must be studied not
only with microscopy but with the vast array of laboratory
tests and analytical techniques that can be adapted and
directed toward answering this question.
Conclusion
The tremendous variety of earthen materials, environments,
deterioration mechanisms, and potential solutions is at
times overwhelming, as noted by Warren:
The conservator is therefore left with the choice of
accepting the limited ranges of proprietary
materials or seeking specialist advice on the
formulation of special compounds and applica-
tion techniques. While specialist advice is
obtainable, it tends to be derived from sources
with experience in specific limited areas. There is
no current professional or institutional source
base for advice across the entire spectrum of
earths and materials available for their consolida-
tion. The common method of procedure is
therefore to seek advice from those experienced in
comparable problemsa pattern likely to persist
for some time while conservation institutes and
agencies gather and build upon experience.
(Warren 1999, 132)
And Prices comment on the application of silanes to
stone is equally relevant to the application of many conser-
vation interventions to earthen materials:
Although the literature contains many papers
describing the use of [conservation interventions],
there are very few that even attempt to come to
grips with the underlying chemistry or the
associated . . . technology. One gets the uncom-
fortable impression that few conservation
scientists have the ability to utilize the extensive
chemical literature in this area, and that this is
preventing the transfer of valuable knowledge to
the conservation field. (Price 1996, 20)
Because of the relative weakness of earthen materials and
the greater reactivity of their component parts, namely
clays, understanding the interactions of consolidants and
earthen materials is even more important than it is for stone.
The literature on clay mineralogy and the interaction of
clays with organic compounds and polymers is well devel-
oped (Jasmund and Lagaly 1993; Theng 1974 and 1979;
Tributh and Lagaly 1991). The gaps between soil science,
chemistry, and preservation must be bridged, but it is rare
to find individuals trained in or capable of transitioning
between these three fields, let alone an individual capable of
explicating it to preservation practitioners. Thus, profes-
sionals from each field must work closely together to pro-
duce coherent publications that recognize the philosophy
and limiting factors of conservation, the potential of chem-
istry and polymer science, and the complexity and reality of
clay mineralogy. Such collaborative research must be
directed at established interventions for earthen materials
and also at any new interventions that are developed in the
future.
One area of promise is the use of combinations of treat-
ments, where the sum effectiveness of the intervention is
greater than its parts. Warren notes:
Intermixtures of technique provide one of the
most promising and sophisticated fields of
potential, loosely describable as composite
structures. Thus a soil which might be ineffectu-
ally restrained by a particular geotextile might
behave entirely differently if even moderately
modified by a consolidant and the combination of
the two materials may be more efficient in cost
and in longevity than a heavier and more expen-
sive application of either alone. (Warren 1999, 132)
Another example is the use of two layers of surface coatings,
for instance, an acrylic-modified soil slurry followed by a
hydrophobic spray (Selwitz 1995) or a soil slurry followed by
a lime plaster (Rua, Rajer, and Mostacedo 1993). A third
example is the application of different treatments to differ-
ent portions of a wall, determined by the type and rate of
deterioration present in each location. Such treatments may
initially be more costly, but they may pay off in the working
life of the intervention. Certainly these types of treatments
deserve further attention.
Conservation interventions are used and evaluated in
three sets of circumstances: in the laboratory, on test walls

constructed in the field, and in situ on original structures at
an earthen site. In much of the literature, some combination
of the three approaches is reported. But while laboratory
research and test walls are valuable and necessary for under-
standing potential interventions, and also for preventing the
wanton application of unproven treatments to irreplaceable
materials, there is generally a large discrepancy between the
results obtained when consolidants are applied to new (lab-
oratory) versus old (in situ) materials. This discrepancy may
be due to differences in the properties of new and aged
adobe, the heterogeneity of in situ materials, microclimates,
methods of application in uncontrolled conditions and on
irregular surfaces, and so forth. Further investigations into
the reasons for these differences may help improve the
design and results of laboratory research and experi-
mental test walls. For example, Binda and colleagues con-
structed test walls, applied treatments, and subjected the
walls to artificial weathering modeled on a specific site
(Binda et al. 1995). The treatments were then applied to the
site, and based upon those results, the design of the test walls
was adjusted to more accurately reflect the environment at
the site and thus render all subsequent tests more useful.
Once a better understanding of the specifics is devel-
oped, it may be possible to make more accurate generaliza-
tions and simplifications in the field of conservation. Chiari
states:
I would like to see a whole series of shortcuts
developed and implemented to obtain acceptably
approximated values of many important magni-
tudes which it is at present too difficult or time-
consuming to measure. This may be done at
different levels: we may devise very simple tests to
be done in the field . . . which of course will not give
precise data, but perhaps information that is useful
in practice . . . I would like to see the same thing
done in the lab, with simplified procedures that
would make possible a whole series of data to be
collected in a cheap, quick way. (Chiari 2000, 111)
As Chiari goes on to say, one of the most important things
to look forward to in the future is the standardization of
such procedures as materials testing and analysis, the selec-
tion of conservation treatments, and the evaluation of those
treatments. Only then can the research community produce
easily comparable data, and only then can it truly profit
from the efforts of individual research projects.
Conservation of Nondecorated Earthen Materials 117
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Conservation of Decorated
Earthen Surfaces
By Leslie Rainer
Introduction
The conservation of decorated surfaces constitutes a spe-
cialized area within the fields of earthen architecture and
heritage conservation. Decorated surfaces include wall
paintings and decorative painted schemes, as well as relief
that can be built up, carved, and/or painted, executed over
plaster or directly onto an earth support. As with other
types of construction, the exterior surface often receives
decoration for a variety of reasons, not the least of which is
often as a protective covering of the structural support. At
the same time, it is often the most vulnerable layer. Deco-
rated surfaces may be a significant element of the building
and require maintenance and likely conservation over time.
Their conservation is intimately linked to the whole earthen
architectural system.
While there has been a fair amount of research on
earthen architecture in general, as well as on wall paintings,
there is a relatively small body of research specifically
focused on the conservation of decorated surfaces on
earthen architecture. This is problematic, because too often
in the past, wall paintings have been examined and treated
without taking into account the architectural system of
which the decorated surface is the presentation layer.
Because many of the problems encountered in the conserva-
tion of wall paintings or other decorated architectural sur-
faces are connected to the structural and support layers of
the building, this directly impacts the diagnosis and treat-
ment decisions made for these surfaces. Again, these are
often the most vulnerable element of the building. Earthen
architectural systems are very susceptible to deterioration
for a variety of reasons, and the equilibrium of the system
from structure to surface is critical to the preservation of
the whole. Compounding the problem is the complexity of
earthen systems, in which diverse materials may be used in
the different layers (Houben and Guillaud 1994; Rainer
1992). This requires that the wall painting conservator treat-
124
ing a decorated surface on earth must be familiar with the
conservation problems of earthen architecture, so as to
design appropriate treatments for the wall painting or oth-
erwise decorated surface that take into account a holistic
approach to the conservation needs of the architectural
system.
Some research has been carried out, in the laboratory
and in the field, relating to earthen plasters and wall paint-
ings, and these have provided the base for conservation in
this specialized area. Studies have been done on specific
decorated surfaces, which can then be adapted to other
cases. Much of the research done in this area has been in
university settings (e.g., University of Pennsylvania Historic
Preservation Program, Courtauld Institute of Art Wall
Paintings Course) by organizations such as ICCROM, CRA-
Terre-EAG, and the Getty Conservation Institute (GCI) and
by national heritage organizations like the United States
National Park Service.
Conference proceedings and professional publications
on both earthen architecture and on wall paintings often
address issues of the conservation of decorated surfaces,
with some articles specifically addressing decorated surfaces
on earth. Such publications include 6th International Con-
ference on the Conservation of Earthen Architecture, Adobe
90 Preprints (Grimstad 1990); 7th International Conference
on the Study and Conservation of Earthen Architecture
(Alada 1993); Terra 2000: 8th International Conference on
the Study and Conservation of Earthen Architecture (English
Heritage, ICOMOS-UK, and University of Plymouth Centre
for Earthen Architecture 2000; and Case Studies in the Con-
servation of Stone and Wall Paintings (Bromelle and Smith
1986). In many cases, research carried out and reported is
generally part of a field project and is undertaken to deter-
mine treatments for specific problems.
Therefore, specialists often depend on information
obtained from related specialties, drawing from painting

and wall painting conservation, as well as architectural con-
servation, and adapt it to their specific needs. Otherwise,
they depend on extrapolating from case studies and use
materials and techniques employed in similar projects, with
greater or lesser success.
This discussion includes information culled from a
variety of sources, and it addresses issues of documentation,
deterioration, treatment, and ongoing research into the area
of decorated surfaces on earthen supports. It was under-
taken in part in the context of the Project for the Conserva-
tion of Wall Paintings at Mogao, Dunhuang, Peoples
Republic of China, a collaboration between the GCI and the
Dunhuang Academy. It reflects areas of focus and expertise
of the author, and while it attempts to be comprehensive,
there are certainly other references that could be added to
this review.
General Information
As a general reference, the comprehensive volume Conser-
vation of Wall Paintings (Mora, Mora, and Philippot 1984)
gives full information on the conservation of wall paint-
ings, with some reference to wall paintings on earthen
supports. Conservation of Earth Structures (Warren 1999)
provides an overview of conservation of earth structures
with some case studies on treatment of decorated surfaces.
Both of these books address conservation through a meth-
odological approach, focusing on decorated surfaces as an
element of the total architectural system. A comprehensive
presentation of many accepted materials currently used in
conservation is given in Materials for Conservation: Organic
Consolidants, Adhesives, and Coatings (Horie 1987). For
construction techniques, there is much published by
CRATerre-EAG, particularly the encyclopedic guide Earth
Construction (Houben and Guillaud 1994).
Documentation
Documentation is one of the fundamental aspects of the
conservation of decorated surfaces on any support, and ref-
erences on documentation practices for wall paintings will
likely be relevant to decorated surfaces on earth. There are
numerous references to documentation for conservation,
and specifically documentation of wall paintings. These
broad works provide information on the methods and mate-
rials used for conservation of these surfaces. Of particular
importance is condition recording and full documentation
of treatments in written, graphic, and photographic form.
Mora, Mora, and Philippot present a comprehensive method
Conservation of Decorated Earthen Surfaces 125
of examination of wall paintings (1984). Recently, computer
documentation has become more and more common, and
this has been reported on in recent conference proceedings
(Schmid 2000). This raises some issues, though, of perma-
nence and usability of the information over time. With the
constantly evolving field of digital recording, programs may
become obsolete, and information that is meant to be useful
over the long term may nonetheless be lost because of prob-
lems of translation.
Proceedings from a research seminar on graphic docu-
mentation systems in mural painting conservation (Gra-
Doc) held at ICCROM, published in 2000 (Schmid 2000),
present current trends in documentation for wall painting
conservation. The papers are not specific to decorated sur-
faces on earth but, rather, pertain to wall paintings and
architectural surfaces exhibiting painted decoration and/or
relief. The main considerations regarding decorated sur-
faces are the accurate and legible recording of decoration
providing the fullest information possible. As mentioned
above, graphic, photographic, and written documentation
are all important for a full description of the decorated sur-
face condition and treatment. The more these can be corre-
lated, the more informative the documentation will be. For
large works, it is important to record the whole surface and
to have the ability to zoom in on specific details. Digital
documentation (CAD, GIS, and other customized systems)
has recently been developed for specific application to wall
paintings. This is described and discussed extensively in the
GraDoc Proceedings (Schmid 2000). Two notable case stud-
ies include: a comprehensive project at Mesa Verde National
Park, Colorado, in which a model was developed for digital
graphic documentation of architectural finishes on earth,
carried out by the University of Pennsylvania and the
National Park Service (Fiero, Matero, and Rivera 2000); full
documentation procedures were also developed for poly-
chrome bas-reliefs on earth by Piqu and Rainer (1999).
Analysis of Earth and Paint Materials
The identification and characterization of materials are crit-
ical to a thorough understanding of original fabrication and
deterioration processes, and they inform decisions regard-
ing treatment and maintenance needs. Material composi-
tions can be varied and complex in the buildup of structural
support, plaster, and paint layers. Pigments and binders can
be susceptible to alteration, and this can affect decisions
regarding treatment of the surfaces. Since the characteriza-
tion of earthen materials is discussed in another section of
126 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
this review, emphasis here will be on the identification and
characterization of plaster and paint materials in particular,
as related to decorated surfaceswith the understanding
that the surface is intimately connected to the architectural
support. It is often at the interface between layers that prob-
lems may occur; thus, a thorough understanding of the sup-
port layers is required for the development of treatments for
the surface.
A useful publication is the AATA special issue on matte
paint (Hansen, Walston, and Bishop 1993). This volume lists
pertinent references on the history and technology, analysis
and examination, properties, and treatment of matte paints,
which are often characteristic of the materials used to deco-
rate the surfaces of earthen architecture.
The most concise and useful handbook of laboratory
techniques for characterizing building materials, including
earth, is A Laboratory Manual for Architectural Conserva-
tors (Teutonico 1986). Other references that have been used
are ASTM standards, British standards, and the United
States National Bureau of Standards. Analytical methods
for conservation of wall paintings on earthen supports were
evaluated in a recent work by Shekede (2000). Methods
included particle analysis, X-ray diffraction (XRD), micros-
copy, and thin section analysis for earth supports; ion
extraction, loss on ignition, and microscopy were used for
identification of organic additives. Further study should be
done on methods of analysis of pigment and binders for
decorated surfaces on earth, drawing from standard ana-
lytical methods used in paintings and objects conservation;
to date this link has not been sufficiently explored. Given
the nature of the plasters and paints (pigments and binders)
that have been used on earthen architecture, study and dis-
cussion of appropriate analytical techniques for the identifi-
cation and characterization of component materials would
be useful to practitioners and scientists in the field.
Several case studies have focused on the characteriza-
tion of materials specific to plasters and decorated surfaces
on earth. One early and thorough work was done by Smith
and Ewing (1952) on the physical and material characteris-
tics of kiva mural decorations in the southwestern United
States. Other early technical studies were done on the mate-
rials in the wall paintings from Kizil (Gettens 1938) and
paint/sand plasters used in the Tumacacori interior decora-
tions (Steen and Gettens 1962). A later work on the analysis
of Pueblo architectural finishes in the American Southwest
was undertaken by Silver (1990). A thesis on the character-
ization and analysis of prehistoric earthen plasters, mor-
tars, and paints from Mughouse, Mesa Verde National
Park, Colorado (Dix 1996), outlines the different analytical
techniques that can be carried out for plasters and paints at
one site. Casoli and colleagues (Casoli et al. 2000) under-
took a project to identify pigments and binders from
earthen bas-reliefs of the ancient Manchay culture in Peru,
using X-ray powder diffraction for the pigments; binders
were analyzed using gas chromatographymass spectros-
copy. Pigments from painted surfaces at a Moche site in
Peru were carried out by Kakoulli (1997) to better under-
stand the materials and techniques of the painted decora-
tion at a specific site. The results of these studies can be
used as a basis for other cases.
Deterioration
Many references addressing the problems of deterioration
can be found in the general literature review for earthen
architecture, especially with regard to the deterioration of
earthen construction materials and renders. The deteriora-
tion of paints and other finishes, though, is specific, and is
not necessarily discussed in the general literature.
Many of the common problems of paint and plaster
deterioration on earth are summed up by Dix (1996). She
states that the principal mechanism by which paints on
earthen plaster deteriorate is the loss of mechanical strength.
As a result, paints can lose adhesion to the wall . . . between
layers, or internal cohesion whereby the paint disintegrates
and powders. Water can also obliterate painted finishes. . . .
Organic binders, if and where present, can be affected by
biodeterioration, resulting in similar mechanical failure of
plasters and paints (p. 38).
Problems of pigment alteration are also of concern for
wall paintings on earth. Case studies that discuss pigment
alteration and color measurement of wall paintings on earth
are presented in a number of papers in the proceedings of
the conference Conservation of Ancient Sites on the Silk
Road (Agnew 1997).
Other factors of deterioration are effects of previous
interventions. Again, for painted surfaces in situ in fluctuat-
ing climatic conditions, the addition of surface coatings can
be detrimental to the paint, plaster, and the earth fabric
because of differential dimensional change of the layers and
differences of water vapor permeability. Barrier films may
inhibit transmission of water vapor through the various
substrate layers to the surface. Though there has been exten-
sive research on the use of surface consolidants on earth,
there has been little published research carried out on this

aspect. And yet such deterioration problems are evident at
many sites with decorated surfaces on earth.
Preventive Measures
Often the best means of ensuring the protection of deco-
rated architectural surfaces is a plan for preventive conser-
vation rather than direct intervention. Such measures may
include stabilization of the architecture (roof and founda-
tion repairs, etc.), shelters, and reburial for archaeological
sites. While these topics are treated in other sections of this
review, they are mentioned here as a reminder that research
on the conservation of decorated surfaces on earth need not
focus only on direct treatment. Appropriate repairs and
maintenance of the architecture, described for the Royal
Palaces of Abomey (Joffroy and Moriset 1996); drainage
systems; as those developed at the site of Chan Chan
(Morales Gamarra 1985); shelters for exposed wall paint-
ings; or reburial of decorated surfaces on archaeological
sites as undertaken at Aztec Ruins (Silver, Snodgrass, and
Wolbers 1993) may be the best options for the preservation
of some wall paintings or other decorated surfaces on earth.
Of course, these preventive measures may also need to be
combined with treatment steps.
Treatment Testing
The testing of proposed treatment materials and methods
may be carried out both in the laboratory and in the field,
prior to use on the actual artifact or wall painting. However,
after the design and implementation of treatments, the
results of such testing often go unpublished. Even when case
studies are presented and/or published, the preliminary
testing phase is often not included; the literature more often
focuses on treatments and their outcomes. Thus, published
research in this area is lacking, and more work should be
carried out both in the laboratory and in the field regarding
decorated surfaces on earthen supports. While the selection
of proposed treatment materials is an important aspect of
testing, it must be coupled with research regarding the char-
acterization and performance of original materials, as well
as deterioration mechanisms. The difference between paint-
ings in controlled environments, like museums, and deco-
rated surfaces on sites that are exposed to the elements (and
often to greatly fluctuating climatic conditions) makes this
an important area of study. Techniques should be developed
that can be used in the laboratory and in the field, if the
results are to be useful for conservation and preservation of
decorated surfaces in situ. Analytical techniques used in
Conservation of Decorated Earthen Surfaces 127
painting conservation can be adapted, as can protocols used
for earthen materials. Such testing is vital for all steps of
treatment, including grouting, reattachment of paint and
plaster, treatment of salts, cleaning, surface consolidation,
and aesthetic reintegration.
A few research projects have specifically focused on the
conservation of decorated surfaces on earth. Isobel Griffin
(1999) studied grouts for wall paintings on earth, investigat-
ing their working properties and performance characteris-
tics. Research carried out through the University of
Pennsylvania Historic Preservation Program has focused on
and advanced treatment testing, especially for decorated and
undecorated plasters and finishes on earth. A model project
undertaken by the University of Pennsylvania and the
National Park Service at Mesa Verde, Colorado, integrated
testing in many aspects of conservation of earthen architec-
tural plasters and finishes (Fiero, Matero, and Rivera 2000).
Frank Matero and Angelyn Bass (1995) reported on testing
carried out from 1991 to 1993 to develop a suitable grout for
lime plasters on adobe. The performance of natural and
synthetic consolidants on different plasters was tested in the
laboratory for use in the field by Beas Guerrero de Luna
(1993). Other work has included research into the potential
of lasers for the cleaning and uncovering of wall paintings
(Shekede 1997b). In studies that are related, though not spe-
cifically focused on decorated surfaces on earth, results of
this type of research can be adapted for further treatment
testing on these specific decorated architectural surfaces.
General Treatment
Reports on treatment, especially site-specific interventions,
are common in the literature. These references are valuable
in the development of treatments, but the specificity of case
studies should always be taken into consideration in design-
ing treatments, especially when considering surfaces
that may be in different environmental conditions and that
exhibit particular deterioration problems. The parameters
and requirements for specific treatments must always be
considered in context. While it is necessary to take into con-
sideration the specific needs and problems of each case before
implementing treatment, the scope and extent of published
literature on case studies can guide treatment decisions.
Treatment steps specifically related to decorated surfaces on
earth are described below in a general order, though the
order of treatment steps may differ from case to case.
Basic issues to be considered in developing treat-
ments are, as for all conservation, minimal intervention,
128 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
compatibility of treatment materials with the original, revers-
ibility of the materials where possible, and retreatability.
Treatment of Plaster Layers
In keeping with the complexity of earthen architectural sys-
tems, different plasters have been used on earthen struc-
tures, including lime, gypsum, and earth. Some treatment
materials are appropriate for one type of plaster but less
appropriate for another. General literature on plaster mate-
rials can be useful in this area; however, the complexity of
the earthen architectural system must be taken into consid-
eration. This is critical in diagnosing problems and design-
ing treatments.
Problems can occur between the plaster and the sup-
port, such as decohesion of the plaster layer and delamina-
tion between plaster layers and between plaster and paint.
The latter will be discussed in the section on treatment to
the paint layer(s). Decohesion of the plaster layer will be dis-
cussed in the context of surface consolidation.
Reattachment of Plaster to the Structural Support
Due to the diverse composition of materials used in build-
ing materials and plasters, detachment of the plaster from
its support is a common problem warranting research.
Anchoring and Pinning
One response to detachment is the mechanical reattach-
ment of the plaster to the support. This has been achieved by
anchoring or pinning, using a variety of anchor materials,
including iron or steel rods with metal or Plexiglas crosses
to hold the plaster to the wall. However, these are quite rigid
compared to the plaster material, and the exposed cross-
piece is visually distracting and usually obscures part of the
surface decoration.
Recent research into pinning techniques using modern
materials has been carried out on baroque frescoes on a lime
plaster over a clay and straw ceiling, using a flexible poly-
amide screw inserted through the lime and clay/straw lay-
ers, and attached with a type of molly in the ceiling. This
system is reported to function well (Schorer 1997).
Earthen rivets have also been used to reattach wall
paintings on earthen plaster on a rock wall. This consists of
inserting an extruded hard earthen or plaster bar into a pre-
drilled hole through the plaster layer and to the support,
pressing with the proper force, and leaving it to set. In this
report, the earthen or plaster bar was amended with polyvi-
nyl acetate (PVAC) emulsion (Qi 1984).
Grouting
In the past twenty years, grouts have been tested and devel-
oped for the reattachment of plasters to their supports.
These are usually liquid mortars with adhesive properties,
which are designed to fill gaps between the plaster and sup-
port layers. Early work in developing injection grouting
using a liquid hydraulic lime mortar was carried out by Fer-
ragni and colleagues for ICCROM in the early 1980s for
mural paintings and mosaics (Ferragni et al. 1984). This
work has remained the basis for further development of
grouts for lime and other materials. In his recent book, Con-
servation of Earth Structures, John Warren (1999) gives an
overview of materials that can be used for grouting on
earthen architecture.
Research carried out in the southwestern United States
has looked at grouts for lime plasters on earthen architec-
ture (Matero and Bass 1995). A degree thesis by Bass (1998)
presents a thorough study for the design, testing, and evalu-
ation of hydraulic lime grouts for reattaching lime plasters
to earthen supports. Baradan (1990) writes about a pozzo-
lanic mixture of fly ash and lime for use in conservation,
and Schwartzbaum, Na Songkhla, and Massari (1986) used
low-alkaline hydraulic lime, liquid lime, or pvac for re-
attaching murals on earth plaster in Thailand.
Other studies have been done using cement-based
grouts. Hartmann (1996) tested three grouts: a proprietary
cement-based grout (Ledan), a modified cement-based
grout, and the hydraulic lime grout developed by ICCROM.
He encountered problems of sedimentation with all mix-
tures. Likewise, in an article about water-based grouts,
mostly for stone buildings, Quayle (1991) presents cement-
based materials and techniques for grouting. While these
may not be appropriate for decorated plasters on earth, the
methodology and some materials discussed might be useful
for application in developing appropriate grouts for deco-
rated plasters on earth.
In reference to grouting of adobe walls, Roselund (1990)
reported the injection of modified earth for filling cracks in
adobe. In this testing, the earth was modified with portland
cement and/or fly ash and lime. Again, this might not be
appropriate for decorated surfaces on earth, but testing pro-
cedures are fully described and could be useful in develop-
ing grouts for this purpose. Shekede (1997a) proposes the
use of earth grouts for domestic wall paintings on earth,
using earth similar to the original plaster, as well as a
method for grouting in layers, allowing drying time between
successive applications.

Microgrouting
For detachments between plaster layers or between the plas-
ter and support, in which there is little or no void, a variety
of adhesives have been used. At Mesa Verde in 1981, a pilot
treatment was done using PVAC emulsion as an adhesive to
reattach delaminated areas. After nine years, the treated
areas remained stable (Silver, Snodgrass, and Wolbers 1993).
On archaeological fragments in Jordan, which were removed
from their support and remounted for museum exhibition,
detached areas were treated by injecting Acryloid B-72
between the strata (Lewin and Schwartzbaum 1985). The
use of such materials should be studied for specific cases if
they are to be used in an uncontrolled environment with
fluctuating conditions.
Detachment
Historically, detaching wall paintings from their original
support and remounting them on a new support was an
accepted means of preserving wall paintings, due to the
risks of deterioration in situ, particularly in unstable, damp,
or isolated environments. Wall paintings on earthen sup-
ports are especially susceptible to damage and deterioration
and have been detached from their original walls and
remounted on new supports with some success. However,
this practice is no longer acceptable except in cases of immi-
nent threat of destruction, as there is now a greater recogni-
tion that much of the value of the decorated surface lies in
its intimate link to the architecture for which it was designed.
Without this link, it loses much of its meaning. Fundamen-
tally, detachment alters the very nature of the wall painting
from an immovable architectural element on a wall to a
movable painting/object that has lost its original context.
That said, in extreme or rare instances, detachment may be
justified. In such cases, there are several references on
detachment and remounting in the literature (Stout and
Gettens 1932; Smith and Ewing 1952; Xu 1985a; Yang 1996).
Fill Removal
Because of changing approaches and materials used for
treatment over time, it may be necessary to remove fills used
for loss compensation in previous treatments. Very little
was found in the literature on this topic, and it appears that
the most common method of removal is by mechanical
means. In the case of cement-based fills in polychrome bas-
reliefs, previous, unstable repairs were reduced or removed
mechanically using Dremel tools and scalpels (Piqu and
Rainer 1999). There is always a need in these cases to con-
Conservation of Decorated Earthen Surfaces 129
sider the surrounding original material, which often may
need to be protected with a temporary facing during removal
of the fill.
Filling of Cracks, Losses, and Edge Repairs
Plaster repairs are widely discussed in the literature. On
fragments of wall paintings that have been detached from
their original support and on wall paintings in situ that
show damage, plaster repairs can be necessary for the struc-
tural integrity of the wall painting, or they can be cosmetic.
In any case, it is preferable to use materials that are compat-
ible with the original, both mechanically and aesthetically.
The literature suggests many different approaches to
and materials for plaster repairs (Hanna, Lee, and Foster
1988; Gordon 1997), depending on the condition and char-
acteristics of the original and its context. Regarding treat-
ments of decorated surfaces on earth in situ, the trend is
toward the use of compatible earth as a base for the repairs,
with or without the addition of an adhesive. In the U.S.
Southwest, a range of mixtures has been used. As early as
the 1930s, at the excavation at Awatovi, preliminary plaster
fills used plasticized calcareous sand (Smith and Ewing
1952). More recently, at Mesa Verde, edging and fills were
formulated to be physically and mechanically compatible
and similar in texture and color to the original, using suit-
able aggregates or earth (Matero and Bass 1994). Chinese
case studies follow the trend of using materials similar to
the original for edge repairs for wall paintings in situ. Most
commonly reported are earth mixed with PVAC and some-
times natural fibers (Qi 1984; Xu 1991).
For losses in polychrome bas-reliefs in Benin, local
earth, compatible with the original laterite earth used in
the construction of the originals, was used (Piqu and
Rainer 1999). The material characteristics of this earth
made the addition of adhesives unnecessary. In Thailand,
lacunae were treated with fills of the same material as the
original, as described by Schwartzbaum, Na Songkhla, and
Massari (1986). In Ladakh, a naturally occurring material
(Mercula clay) has been used as a cementing material for
construction of adobe structures. Its composition (illite,
approx. 83%, with approx. 23% Al 2O3) and properties indi-
cate its suitability for repairs, for which about 25% Mercula
clay is added to the local earth mix (Sharma, Gupta, and
Kanotra 1995). This is a very localized and specific case, but
it shows the advantages of careful analysis and selection of
specific materials for conservation. On wall paintings in
Peru, Samnez Argumedo (1986) reports that loose edges
130 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
were consolidated with a mortar of fine sand and hydrated
lime (2:1), with the addition of Mowilith DM1 H in water.
Losses were filled with the same mixture.
For fragments that have been removed from their origi-
nal sites and treated in a museum environment in China,
different materials have been used for infills, among them
polystyrene foam or earth (Yang 1996). Fragments from
Karadong were treated in the laboratory with a mortar made
of lime, sand (from Turfan), and a vinyl resin, which was
used to fill gaps between fragments and edges. A final mor-
tar was made with a color similar to that of the original for
the surface finish (Joseph and Vasquez-Urzua 1995).
Treatment of the Paint Layer(s)
Deterioration of the paint layer can occur at the interface
between the plaster and paint layer, or it can manifest as
delamination between layers of paint or paint and ground,
or as decohesion of the paint layer (powdering of the sur-
face). It cannot be stressed enough that the complex stratig-
raphy of the paint, plaster, and support materials in an
earthen architectural system plays an important role in
decision making regarding interventions, and it should be
well analyzed before treatment proceeds. The treatment of
the paint layer cannot be addressed without considering the
materials used for the plaster and the support, and without
considering the environmental conditions for decorated
surfaces in situ.
Reattachment of Flakes
The reattachment of paint flakes requires an appropriate
adhesive that has the strength to adhere the paint layer back
to the ground layer, that will perform well over time (that is,
it will not become brittle or lose its adhesive properties), and
that will not change the optical properties of the surface (by
staining, changing the gloss, or discoloring pigments or col-
orants). Many adhesives have been used on wall paintings
and decorated surfaces in the past, including natural organic
glues and synthetic adhesives, depending on specific condi-
tions. Since the paints on earth are often water sensitive and
can be underbound, an adhesive that would change the water
vapor transmission at the surface could adversely affect the
paint and plaster layers over time, causing subflorescence or
efflorescence of salts, leading to flaking, and peeling.
Traditional Materials
Regarding natural adhesives, animal glue and isinglass have
been used to reattach paint flakes. In several Chinese
reports, isinglass was used for reattachment of paint flakes
on clay sculptures (Zhou and Zhang 1995; Wu, Zhang, and
Zhou 1994). On Chinese wall paintings, a solution of ani-
mal glue and alum in water has been used in the past (Qi
1984). Qi suggests that polyvinyl alcohol (PVOH) and PVAC
can replace the animal glue. In a pilot conservation pro-
gram at Mug House in Mesa Verde, thin delaminations and
flaking layers of wash or paint were reattached with a gela-
tin solution (Fiero, Matero, and Rivera, 2000). Other natu-
ral and synthetic aqueous adhesives were field-tested in the
scope of this project, and the dilute gelatin was found to be
most effective.
Synthetic Materials
There has been widespread use of PVAC in water, both on
fragments in a museum environment (Miller, Lee, and
Ellam 1987; Lewin and Schwartzbaum 1985) and on wall
paintings in situ. In Peru, flaking paint has been reattached
by injection using Mowilith DM1 H (Samnez Argumedo
1986). Other case studies report using PVAC in various sol-
vents: PVAC in toluene (Singh and Sharma 1993) and loose
pigments that have been fixed with a dilute solution of PVAC
dissolved in toluene, alcohol, and ethylene dichloride (Sen-
gupta 1984).
Acrylic dispersions and emulsions in water have also
been used with good results, as, for example, Rhoplex AC33
on polychrome earthen bas-reliefs in Abomey (Piqu and
Rainer 1999). At Aztec Ruins National Monument, an
acrylic emulsion was used, and the murals have remained
stable (Silver 1997). In the tomb of Nefertari, conservators
used Primal AC-33 (30% in water) to reattach paint flakes to
the earth plaster (Mora and Mora 1993).
Another synthetic adhesive that has been used widely
in wall painting conservation is Acryloid B-72,1 also called
Paraloid B-72, in various solvents. The use of this material is
widespread in wall painting conservation. It was used in
Thailand on wall paintings on earth plaster to reattach the
flaking paint layer by injecting Paraloid B-72 in toluene
behind the surface (Schwartzbaum, Na Songkhla, and Mas-
sari 1986). In another report from Thailand, Paraloid B-72
was used; however, for some paintings with thick grounds,
it was replaced with cellulose nitrate when Paraloid B-72
failed (Na Songkhla 1985). Acryloid B-72 has also been used
1
Acryloid B-72, a methyl methacrylate produced by Rohm and Haas, is
also known as Paraloid B-72. Both names can be found in the literature
and are interchangeable. The name used in any given reference is used
in the text here.

on some earth finishesfor example, on Pueblo architec-
ture in the U.S. Southwest, where it was used to reattach
paint flakes. This worked well unless repeated applications
were necessary, and then the optical appearance would be
altered (Silver 1990).
In related case studies addressing problems of under-
bound paint, though not on earthen supports, other adhe-
sives have been tried. Very dilute ethylhydroxyethylcellulose
(Ethulose) in deionized water and ethanol was employed as a
fixative for powdering and flaking paint on tempera paint-
ings at the U.S. Customs House (not on an earth support)
(Silver 1997). Methylcellulose in water was applied as the
adhesive for consolidating and reattaching gouache paint on
works of art on paper using ultrasonic misters to avoid shini-
ness or discoloration of the painted surface. The adhesive has
long-term stability, good flexibility, and physicochemical
compatibility with existing materials (Beentjes, van Dalen,
and Marchal 1999). These case studies, though not specific to
decorated surfaces on earth, could provide direction for the
further study of adhesives for decorated earthen architec-
tural surfaces.
Flaking paint on fragments of detached wall paint-
ings remounted in a museum environment have been
treated with Raccanello acrylic silane E55050 (a mixture
of acrylic and silane resins in 1,1,1-trichloroethane and
toluene) (Hanna, Lee, and Foster 1988). Otherwise, Beva
D-8 in water has also been used for reattaching flakes
(Gordon 1997).
Little evaluation of adhesives is evident from the lit-
erature. One exception regards work at Mesa Verde, in
which prior treatments were evaluated. Those using water
only to rehydrate the earth plasters and those using a dilute
solution of PVOH in water both failed over time, as did 5%
and 10% gelatin solutions injected behind delaminated or
detached plaster layers. Treatments using thickened acrylic
emulsion solution appeared to be successful at stabilizing
loose and flaking areas of plaster and washes (Rivera and
Slater 1999). Evaluation of treatments should be carried
out and reported on in order to further understanding of
different treatment materials and to determine their
appropriateness.
Cleaning
Cleaning can be carried out using a variety of methods and
materials, depending on what is to be removed from the
surface. In the case of wall paintings on earthen architec-
ture in situ, often there is a surface accumulation of dust
Conservation of Decorated Earthen Surfaces 131
and debris. Further buildup can be in the form of soot,
stains, biological growth, coatings, and overpaint, which
may each require different levels of cleaning and removal.
Traditional methods and materials include mechanical
removal, dry cleaning, water-based systems, and solvent
mixtures; these are prevalent in the research literature.
Advanced cleaning techniques that have been under recent
development include aerosols, dry cleaning methods, sol-
vent gels, resin soaps, enzymes, and laser cleaning; however,
there was little mention of them in the literature reviewed.
As is often the case in conservation, there is always a need
for research that explores alternatives using gentler, non-
toxic systems over toxic materials.
Removal of Surface Accumulation
Cleaning of surface accumulation is often a primary interven-
tion. In the literature, different methods are described, though
water-sensitive paints on earth may likely be cleaned by dry
methods. These can include removal of surface debris by
vacuum (Bandaranayake 1997) or careful dry dusting using
a pen knife and a soft brush (Smith and Ewing 1952) or, in
one case, a kneadable eraser (Luk et al. 1997).
Carefully used, water-based systems can be employed.
In all mentions of aqueous cleaning on water-sensitive
paints on earth, cleaning was done using a damp swab (Na
Songkhla 1985; Piqu and Rainer 1999) or done through a
poultice, as was done in Thailand, using compresses of
paper pulp and ammonium carbonate (Schwartzbaum, Na
Songkhla, and Massari 1986). In Peru, Samnez Argumedo
(1986) reports using a combination of mechanical and
water-based systems with bicarbonate of soda in water using
a swab. Singh and Sharma also report using a mixture of
water, ethylene glycol, ethylene dichloride, and trietha-
nolamine, followed by a thorough cleaning with a mixture
of methyl alcohol, Cellosolve, and ethylene glycol (Singh
and Sharma 1993). Such water-based systems must always
be tested before use because of the sensitive nature of
earthen materials. The method of application and removal
is often as critical as the choice of materials to be used for
treatment. Richard Wolbers gives an overview of water-
based systems for cleaning in his book Cleaning Painted
Surfaces: Aqueous Methods (Wolbers 2000).
Soot Removal
Soot can be derived from smoke of different derivatives
greasy soot from cooking, wood fire, or burning of various
plants. Therefore, when it is appropriate and desirable to
132 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
remove it, the complex formula of the soot deposit can be
challenging. On a given surface, there may be problems in
completely removing the soot layer and/or in removing it
without harm to the underlying paint layer, especially on an
earthen support. Many different materials have been used
for soot removal, most using toxic solvents or solvent com-
binations. In his work on conservation techniques for Chi-
nese mural paintings, Xu (1985b) suggests that soot can be
removed by using a solution of toluene, butyl alcohol, and
butyrolactone lactate (1:2:2). On mural paintings in a mon-
astery in India, smoke, soot, and greasy and tarry matter
were removed using a mixture of triethanolamine and
methyl alcohol (1:100, with a small addition of dibutyl
phthalate) (Singh and Sharma 1993). On mural paintings in
Peru, soot and organic debris were removed with pyridine
(Samnez Argumedo 1986). Though these treatments have
been published and are included in the literature review,
many of these materials are not recommended because of
their toxicity. Recent advances in conservation propose
alternative cleaning systems that may be as effective and yet
less harmful than toxic solvent systems.
Removal of soot on two detached Ming Dynasty wall
paintings consisted of a solvent-soap-gel system using
xylene, benzyl alcohol, Armeen CD, Carbopol, and Tri-
ton-X. The gel was diluted with Shellsol and applied with a
cotton swab and then rinsed thoroughly with Shellsol. This
system acted as a soap that could break through the soot,
dissolved in a solvent that would not affect the paint layer. It
was noted that if this process should be used again, the Tri-
ton-X could be eliminated from the mixture and the surface
rinsed with xylene, which has a higher aromatic content
than Shellsol (Gordon 1997).
Stain Removal
The removal of different stains requires specific solvent for-
mulas depending on the nature of the stain to be removed.
Stains can be biological products such as molds, fungi, or
excrement, or they can be chemical stains deposited on the
surface. In addressing stain removal, a thorough under-
standing of and positive identification of the stain is advised
in developing treatment for the specific case.
Xu reports removing oil marks with tetrachloroethyl-
ene and oil, wax, and lacquer with carbon tetrachloride,
acetone, xylene, trichloroethylene, turpentine, and alcohol
and dimethylformamide, and so on. Elsewhere oil stains
have been removed with tetrachloroethylene or ammonia
(Xu 1985b). Stains from wood preservative were removed
from polychrome earthen bas-reliefs using acetone in poul-
tices (Piqu and Rainer 1999).
At the British Museum, stain removal was carried out
on archaeological earthen wall painting fragments using
microscopic poultices of cellulose powder with a mixture
of hydroxide and ammonium hydroxide, both in distilled
water, stopped by distilled water (Miller, Lee, and Ellam
1987). In Peru, yellow stains on white areas were treated
with Chloramine-T, a bleach (Samnez Argumedo 1986).
Germicides, such as sodium pentachlorophenolate, have
been used to remove mold from mural paintings. In one
case where mold was treated on a Chinese wall painting,
after drying, the mold spots were brushed away with a soft
brush (Qi 1984). In this case, and in some other reports, a
protective coating was subsequently applied to the surface.
Removal of Coatings
The removal of coatings from previous restorations is often
reported, and the need for their removal indicates that a
thorough evaluation of the effectiveness and longevity of
coatings applied to wall paintings on earth supports is nec-
essary before application. In most cases, the coatings have
failed and have led to further damage to the original sur-
face. Their removal can be extremely difficult, and it may
not be possible to remove them entirely.
In the case of an archaeological site in the U.S. South-
west, a fragmentary wall painting was coated with shellac
and cellulose nitrate, which exacerbated the problems of
deterioration in an exposed environment, causing the paint
layer to curl and detach from the earthen render. The coat-
ings were removed by the application of solvent mixtures
through Gore-Tex, used like a poultice, drawing the dis-
solved coatings out and depositing them on the surface of the
tissue. Not all coating material was removed (Silver 1997).
In Singh and Sharmas work on wall paintings in a mon-
astery in India, the old preservative coat (likely PVAC) was
removed using toluene and a mixture of different organic
solvents in various proportions and combinations (ethylene
glycol, Cellosolve, methyl alcohol, butyl acetate, acetone, and
petroleum ether), with turpentine as a restrainer applied
with cotton swabs. A coating containing PVAC in toluene,
with phthalate as a plasticizer, was then applied over the
cleaned murals (Singh and Sharma 1993). In the Dambulla
Rock Temple Complex in Sri Lanka, there is also mention of
the removal of an old PVAC coating, though the method
used is not described (Bandaranayake 1997).

Treatment of Salts
Wall paintings often manifest deterioration from salts. They
can cause damage to the paint and plaster in different strata
(efflorescence, subflorescence), and the damage can vary to
different degrees, with a variety of manifestations. Prob-
lems include deterioration of the paint and plaster (seen in
detachment and exfoliation of the paint and plaster layers),
disaggregation of the earthen plaster and/or paint, crystal-
lization of salts below the paint surface, localized losses in
the paint layer, and salt efflorescence on the surface, seen as
a whitish veil or as salt crystals.
There is little material directly regarding the treatment
of salts on decorated surfaces of earthen structures; how-
ever, studies have been done on the treatment of salts on
wall paintings on other supports. Much of this work could
be relevant, and research should be directed toward wall
paintings specifically on earth in the future. The outstand-
ing question in this area remains: Is it feasible to remove
salts completely from an architectural system, or from an
architectural support, especially if it is inherent to the origi-
nal material? Salt cycling could prove to be more risky to
the system than partial removal, if the cycles continue be-
cause of environmental fluctuations. Studies to date have
addressed the topic in a number of ways.
Common methods of mechanical salt removal include
dry brushing (Piqu and Rainer 1999) and use of a scalpel
(Torraca 1984). Surface salts have also been removed by
cotton swabs moistened with saliva (Silver 1997). These
methods do not attempt to desalinate the wall or the wall
paintings completely but instead attempt to remove the
efflorescence from the surface only, with an understanding
that salts may remain below the surface. In one treatment
in the U.S. Southwest, salts were removed by light brush-
ing, then more tenacious salts were treated with compresses
of paper pulp with a saturated solution of bicarbonate of
soda, followed by compresses of distilled water. The author
reports that 50% of the salts were removed, with no damage
to the rendering or paint (Silver 1990).
Much of the work on desalination deals with testing,
followed by implementation in some cases. One very inter-
esting study was done on lime renders in an underground
crypt. The testing combined surface consolidation with
desalination by poulticing. Laboratory testing was carried
out by first consolidating the renders. After three months of
curing, compresses of Arbocel BC 1000 with deionized
water were applied in three separate applications. More salt
was removed with the second compress than with the first,
Conservation of Decorated Earthen Surfaces 133
and this was unexpected. Overall, results appeared to show
better conditions after treatment testing. However, in situ
test results showed that twenty times less salt was extracted
than was extracted in the laboratory tests (Bluer Bhm and
Hfner 1996). This study shows that results of laboratory
and field testing may differ greatly, and it is extremely valu-
able to carry out both and then comparatively evaluate
results for realistic treatment options.
Studies have been done on desalination of objects with
good results. While these studies may be used in developing
treatments for decorated earthen architectural surfaces,
they may not be easily adapted. An article on the desalina-
tion of earthen tablets by immersion was reviewed, and
while the method is not applicable to architectural surfaces,
a protocol for sample preparation is given, and a recommen-
dation is made at the end of the article to test poultices for
desalination, which could be useful for wall paintings (Li-
gey 1996).
In a related study, cellulose pulps and cellulose ethers
were researched for use as poultice materials. The article
presents the characteristics and working properties of a
series of cellulose pulps and cellulose ethers used in conser-
vation. The results showed that cellulose pulps are preferable
over cellulose ethers in many cases (Redman 1999). Another
article on desalination of ceramic objects had sections on the
qualitative and quantitative identification and measurement
(before and after extraction) of salts, with information on
measurement instruments (Paterakis 1987). This kind of
information is useful in designing treatment testing of salts
in decorated surfaces on earthen architecture.
Detached wall painting fragments on earth at the Brit-
ish Museum were also treated for salt removal. The surface
of one fragment was wetted with distilled water using a fine
mist spray; sheets of blotting paper were laid down and care-
fully flattened with a soft wet brush. After twenty-four hours
the poultices were removed and analyzed for salt content.
The poultices were weighed into beakers of distilled water,
and left to soak for twenty-four hours. The liquid was then
filtered and the soluble chloride content was determined.
Poulticing was repeated until the soluble content was
reduced to a negligible level. The fragment was then returned
to a dry, stable environment, where its condition could be
regularly monitored (Miller, Lee, and Ellam 1987). Again, it
is necessary to remember that this type of treatment may be
suitable for wall painting fragments in a controlled museum
environment, but it may not be effective for wall paintings
on earth supports in situ.
134 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
One case of poulticing wall paintings in situ for salt
removal is discussed in an article on the conservation of
Chinese wall paintings. Compresses (poultices) approxi-
mately 5 mm thick made of paper fiber, that can also be
mixed with kaolin, pumice powder (1:1), and a dilute solu-
tion of PVOH, were used for salt removal from the surface
(Xu 1985b). No conclusive results of the effectiveness of this
method, however, are given.
Surface Consolidation
The problems of powdering plaster and paint are common
in the conservation of earthen materials, and surface con-
solidation seems to be among the most studied areas in the
conservation of earth, since the problem of surface deterio-
ration (decohesion), whether on bricks, plaster, or paints is
common. While this is discussed in the section on plasters,
some references referring directly to decorated surfaces will
be discussed here. There is often an overlap in the discus-
sion of plaster consolidation and paint consolidation, since
the materials may show similar properties and problems of
deterioration.
A variety of products have been tested and used in the
conservation of wall paintings on earth, to consolidate pow-
dering paint and friable earth support layers. These include
naturally occurring adhesives and mucilage, synthetic
organic resins, and silicone esters and silanes, which may, in
different ways, act as binders for a powdering paint layer.
Criteria for the selection of suitable surface consolidants are
similar to those for the selection of an appropriate adhesive.
There should be no visible change in optical properties
(change in gloss or darkening of the surface), and no detri-
mental effect to the surface or substrate due to difference in
strength at the surface or differential properties of water
vapor transmission between the consolidated surface and
the substrate.
Traditional Materials
In China, traditional materials have been used to consoli-
date the surface of powdering paint layers on earth renders.
Most common appears to be animal glue and alum in water
at different low percentages applied once or twice to the
paint layer (Qi 1984; Huang 1984). The same materials have
also been used traditionally for consolidation of powdering
surfaces prior to detachment of wall paintings in China (Xie
1997). In one article, traditional materials for consolidation
included casein and shellac, as well as the animal glue and
alum in water (Xu 1982).
In a related case study using traditional materials to
consolidate a tempera painting (though not on earth), dilute
rabbit skin glue was applied as a fine mist (Silver 1997). The
author reports that the painting has remained stable since
treatment.
Synthetic Materials
Many reports show that traditional materials are being
replaced by PVAC and PVOH for consolidation (Qi 1984).
Treatments in China currently include use of PVAC and
PVOH as consolidants (Xu 1982, 1985a, and 1985b; Yang
1996; Li et al. 1993). On wall paintings at Bamiyan, PVAC
was used as a preservative layer, often applied in more than
one coat but in such a way that the surface gloss was not
altered (Sengupta 1984).
Many tests have been carried out at the Dunhuang
Academy in China to determine various properties of differ-
ent consolidants. In the early 1990s, Li Yunhe and colleagues
tested the stability of PVAC and PVOH by accelerated aging
and considered the effects on color alteration by these two
consolidants. The conclusions of the testing show that both
PVAC and PVOH have good resistance to photochemical
deterioration under different levels of RH. Also, PVOH con-
solidation does not affect the color; however, according to
their report, it can make the gypsum layer transparent and
saturate the blue color (Li et al. 1993). In another study by Li
and Nishira, comparative tests, conducted on twelve consol-
idants, looked at the properties of resistance to thermooxi-
dization and to UV deterioration. Consolidants tested
include PVAC, PVOH, potassium silicate, lithium silicate,
and Paraloid B-72. Test results showed that both PVAC and
PVOH have good resistance to thermooxidation and UV
deterioration. They also have good penetration properties.
Paraloid B-72 is reported to be more stable than PVAC and
PVOH, especially under high humidity. Potassium silicate
and lithium silicate were also reported to have good results.
They have the advantages of stability and low cost, and they
are easy to apply. No other mixtures than the ones men-
tioned above showed good results (Li and Nishira 1993). Su
and Li carried out experiments using color monitoring
instruments to measure the color change of specimens
before and after PVAC, PVOH, and Paraloid B-72 were
applied. Results showed that Paraloid B-72 causes more
color alteration than PVAC and PVOH (Su and Li 1996).
These studies give information on certain aspects of treat-
ment on earthen decorated surfaces. However, lacking in the
literature is long-term evaluation of treatments using these

products in situ. This is critical for materials that have been
widely used in very different and uncontrolled environmen-
tal conditions, to determine if they are, in fact, effective and
successful treatment materials over time. Less published are
reports on decorated surfaces on earth that exhibit deterio-
ration after an initial treatment.
Several case studies mention the use of Acryloid/Paral-
oid B-72 for surface consolidation. Painted earthen plasters
at Mesa Verde were preconsolidated with a solution of
3%5% Acryloid B-72 in toluene and xylene (1:1) through a
Japanese tissue facing. This did not change the color or gloss
of the paint layer (Matero and Bass 1994). Acryloid B-72 was
also used as a consolidant at the Dambulla Temple Complex
in Sri Lanka (Bandaranayake 1997). Areas of powdering
paint on earthen polychrome bas-reliefs were consolidated
using 3%5% Acryloid B-72 in acetone in localized areas
(Piqu and Rainer 1999). In the tomb of Nefertari, where the
original binding medium had disintegrated, causing the
paint to become powdery over much of the painted surface,
the wall paintings were treated with 3%5% Paraloid B-72
in lacquer thinner (Mora and Mora 1993).
Acryloid B-72 has also been used on fragments in
museums. On archaeological painted fragments, paint lay-
ers were consolidated with Acryloid B-72 (7%) in acetone
(Lewin and Schwartzbaum 1985), as were fragments from
Turfan (Joseph and Vasquez-Urzua 1995). A 5% solution
of Acryloid B-72 in xylene was brushed over the surface of
detached Ming Dynasty wall paintings to consolidate the
paint layer (Gordon 1997). In the case of two Chinese wall
painting fragments at the Philadelphia Museum of Art, one
wall painting fragment was consolidated with Acryloid B-72
in xylene, applied in a glove bag enclosure saturated with
xylene vapor. Alternatively, methylcellulose provided suffi-
cient adhesive strength without altering the reflectance or
saturation of the paint surface on the other fragment (Luk
et al. 1997). Methylcellulose has also been used as a surface
consolidant for gouache paints on works of art on paper,
applied by ultrasonic misters to ensure small drop size and
low concentration of adhesive, to avoid shininess or discol-
oration of the painted surface. The mister also allows for a
gentle and controllable application of the adhesive (Beentjes,
van Dalen, and Marchal 1999). In this case, the same treat-
ment was used for reattachment of paint flakes.
Of the numerous synthetic consolidants currently in
use, ethyl silicate has been one of the more commonly used
with regard to earthen structures and surfaces and has
undergone a fair amount of testing (Chiari 1990a; Lewin
Conservation of Decorated Earthen Surfaces 135
and Schwartzbaum 1985). In his evaluation, Chiari reports
that there is no ideal surface consolidant for conservation of
adobe in all cases. However, criteria for evaluation and
results of different treatments are given. Various materials
are evaluated, including synthetic resins and ethyl silicate
(Chiari 1990a). Lewin and Schwartzbaum found that on
archaeological fragments treated with ethyl silicate, the
sample analyzed showed that much more hydrolysis had
occurred following initial cure. Additional studies should
be done to understand if this further hydrolysis creates
stress on the material, or if the consolidating effect of the
ethyl silicate may gradually weaken and dissipate upon pro-
longed aging.
Comparative product testing has been done on the con-
solidation of earth surfaces. In a degree thesis on the analysis
and consolidation of architectural plasters at atalhyk,
Turkey, Kopelson tested three types of consolidants, includ-
ing an epoxy resin, an acrylic resin, and ethyl silicate.
Testing was done in the laboratory and in the field. Precon-
solidation was done using rabbit glue or Aquazol 50/T1919,
with varying results (Kopelson 1996). Beas also presents a
laboratory testing program for three different consolidants
on earth: plant mucilage of tuna cactus; Acryloid B-67, a
synthetic organic resin; and Conservare OH, a synthetic
inorganic silane. According to Beass test results, Conservare
OH performed best overall on the clay samples, though
vapor transmission decreased 43% (Beas 1991). This work
also gives specific technical information on various com-
mercial products, case studies where products have been
used, and evaluation of products where available.
Alkoxysilanes have also been used for consolidation. In
the U.S. Southwest, friable rendering was stabilized with
Tegavakon alkoxysilane (Silver 1990). The author notes that
Conservare H and Conservare OH could also be tried.
Aesthetic Reintegration and Presentation
Aesthetic reintegration deals mainly with the presentation
of the painted/decorated surface. One of the objectives of
wall painting conservation is to render the image or the
decoration legible. The decision regarding the extent of aes-
thetic reintegration depends largely on the specific case. In
current conservation practice, there is a tendency to carry
out minimal aesthetic reintegration, especially on archaeo-
logical objects, finishes, and sites. On more recent mural
schemes, this may be quite different, and reintegration can
be carried out to a greater or lesser degreetoning of the fill
136 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
plaster, neutral tones in the losses, inpainting of damage
and, in some cases, of wear.
Recent research follows this tendency toward minimal
intervention, and there is, in fact, little mention of final rein-
tegration in many case studies, implying that it may have
been limited or may not have been done at all. On Ming
Dynasty wall painting fragments in the British Museum,
surface reintegration was done by troweling or stippling the
gap filler mixture over the surface depending on the depth
to be filled. Inpainting was done with acrylic paints. No sur-
face coating was applied (Hanna, Lee, and Foster 1988).
Similarly, on two other detached Ming Dynasty wall paint-
ing fragments, retouching was limited, using Flashe 1300
colors. An exact color match was avoided; losses that
exposed white ground were not filled (Luk et al. 1997). Aes-
thetic reintegration, including surface fills of local earth,
was carried out on detached polychrome bas-reliefs in
Benin, West Africa, and inpainting used slaked lime and
dry pigments in acrylic binder in background areas only
(Piqu and Rainer 1999). Two articles on Thai mural paint-
ing also describe minimal retouching only in lacunae (Na
Songkhla 1985), and the use of traditional tratteggio tech-
nique to distinguish reconstructed areas from the original
(Schwartzbaum, Na Songkhla, and Massari 1986).
Evaluation of Treatments
There are few published evaluations of treatments on deco-
rated surfaces on earthen supports. Giacomo Chiari under-
took evaluation at several sites where ethyl silicate was used
in different conditions: a backfilled site with an adobe
painted frieze in Cardal, Peru (Chiari, Burger, and Salazar-
Burger 2000); a damp Roman site from the fifth century bc
in Feltre, Italy; Fort Selden, New Mexico; Grenoble, France
(Chiari, Rigoni, and Joffroy 1993); and an archaeological
site in Iraq (Chiari 1990b). The evaluation of these treat-
ments is invaluable. Parameters for evaluation should be
well defined, and the evaluations should be developed to
give the most information possible if they are to be of use for
other projects.
Maintenance
Maintenance is one of the most important aspects of the
conservation of decorated surfaces on earthen supports in
situ. Some case studies address this, such as those of the bas-
reliefs at Abomey, Benin (Piqu and Rainer 1999), and the
site of the Royal Palaces of Abomey (Joffroy and Moriset
1996). Little, however, is written specifically on this topic,
but larger studies on site management should include refer-
ence to this, particularly when the decorated surfaces are a
characteristic feature of the site.
Conclusion
There is a growing body of information on decorated sur-
faces on earth, though most of it involves the reporting of
treatment of decorated surfaces in situ or of wall painting
fragments in controlled museum environments. Testing
and evaluation of materials for use specifically on decorated
earthen architectural systems are also little studied. To date,
practice has been primarily informed by research adapted
from other fields and/or materials. Researchincluding
analytical methods for understanding materials and their
behavior, treatment testing in the laboratory and in the field,
evaluation of interventions over long-term periods, and so
onspecific to decorated surfaces on earth should be
undertaken and, equally important, published. A great deal
of empirical knowledge has developed through professional
experience; this must be documented and disseminated to
inform continued efforts.
Finally, research on the conservation of decorated sur-
faces on earth need not all be related to treatment. Exposure
of decorated surfaces (especially excavated walls) to the ele-
ments is of great concern, and this raises the issue of the
need for shelters and other preventive measures. This area is
little addressed in the literature relating to decorated sur-
faces, and it warrants further investigation. The trends
toward an understanding of original materials and tech-
niques and toward more accurate assessments of deteriora-
tion mechanisms are encouraging. This research should be
continued and expanded, in order to further a thorough
understanding of the complex material conservation issues
of plasters and painted surfaces.
The complexity of the architectural system, as well as
the integral link between the surface and the architectural
system, cannot be overemphasized. With a more compre-
hensive understanding of original materials, techniques,
and architectural systems of decorated surfaces on earth,
appropriate conservation measures can be taken, and a
holistic approach to their long-term preservation can be
developed.
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Wall-Inhabiting Organisms and
Their Control in Earthen Structures
By Brian V. Ridout
Earthen and other masonry structures differ from timber in
that, though they may provide a habitat for insects and other
animals, they do not form a food source unless they also
contain organic materials. Many creatures and plants that
invade earth walls are likely to treat the wall as just another
earth cliff or bank if the material is soft enough to colonize,
and any protective render is damaged or missing. Most of
the damage will be caused by primary colonizers, which
actively grow or burrow into the wall material; secondary
colonizers, which live in the holes or modified earth, may
exacerbate the damage by their activities. A wide range of
potential colonizing organisms may therefore cause damage
to earth buildings. Reed and colleagues (Reed et al. 1979)
and Chiari (1985) both discuss the problems caused by tree
roots. Pearce (1997) notes that termites can cause signifi-
cant problems in earthen walls. Matero and colleagues
(Matero et al. 2000) reported that birds, rodents, insects,
and other arthropods were enlarging cracks attributable to
other causes, by their activities at Casa Grande. This was
discernible from guano, spiderwebs, debris, and burrows.
Ziegert (2000) records rats, mice, and spider infestation as
causes of damage in German cob buildingsparticularly
mice, whose tunnels produced enormous cross section
weakening in wet zones. Bowman (2000) adds mason bees
in New Zealand to the list.
The following discussion concerns the primary
colonizers noted in the preceding paragraph. Secondary col-
onizerse.g., birds and spidershave not been included
because their activities may presumably be curtailed by fill-
ing cavities.
Tree and Shrub Roots
Subsidence and Heave of Foundations
If a building is constructed on clay soils, then seasonal tree
root activity may exacerbate the natural seasonal cycle of
142
clay dehydration and rehydration underneath the walls. This
may ultimately damage the building. The tree will remove
water from the clay during the growing season, and the soil
will then rehydrate when the tree growth ceases. Kozlowski
(1982) reviewed the suction pressure achieved by plants and
trees. He found that the peak suction on the soil achieved by
tree roots was typically about 1500 kPa. Biddle (1998) stated
that the load stress on the soil exerted by the foundations of
a low-rise building was generally about 100 kPa, which was
far less than the effect of root suction, so that movement of
the foundations could occur.
Biddle (1998) also stated that the recovery of the soil
from dehydration was incomplete beneath the walls, so that
each annual cycle of water movement leads to an accumu-
lating water deficit, which could ultimately result in subsi-
dence. If a building had been constructed on soil where a
nearby tree had caused a persistent water deficit and the tree
was removed, or if barriers (or severing) impaired the suc-
tion effect of the roots, then the soil would start to rehydrate
and swell. This could cause the foundations to rise, resulting
in heave. Williams and Pidgeon (1983) discuss how the
removal of vegetation causes heave and damage to buildings
on the highveld of South Africa. The science of swelling in
soils and earthen materials is fully discussed by Nelson and
Miller (1992).
Reynolds and Alder (1980) attempted to rank tree spe-
cies according to the damage their roots might cause to
buildings. Their ranking was based on a questionnaire sent
to fifty professionals who were asked to give a subjective
score based on experience for (among other things) the risk
of damage associated with seventeen tree species. Cutler
and Richardson (1981; 1989) also conducted a large survey,
and produced a species ranking based on the radial spread
of roots that had caused, or were associated with, damage.
Biddle (1981) advocated a classification based on water
demand, while McCombie (1993) used a tree height/dis-
 Wall-Inhabiting Organisms and Their Control in Earthen Structures 143
tance to damage ratio. Ward (1947; 1953) and Biddle (1979)
in the United Kingdom and Hammer and Thompson
(1966) in the United States produced earlier ranks. Biddle
(1998) concludes that there is considerable overlap between
species, no matter how they are ranked, and that there is
no evidence that rows of trees will have an enhanced effect
compared to single trees. The influence of trees grown in
proximity will overlap with each other rather than be
cumulative.
Direct Damage to Walls
Chiari (1985) states that a few visible plant leaves on the sur-
face of an adobe structure can be supported by meters of
large roots, which cause cracking in their search for water.
Zwieniecki and Newton (1995) found that Arbutus roots
could grow through fissures as thin as 100 m in rocks,
while pine, which was less well adapted, required the fissure
to be greater than 0.5 mm. These, even for pine, are very
small cracks and crevices. Misra, Dexter, and Alston (1986)
measured root pressure exerted by different plant seedlings
and obtained a mean axial pressure of 1032 kPa and a mean
radial pressure of 866 kPa. There was, however, considerable
variation, and the results were obtained from the primary
growth of crop plants, rather than of trees. Nevertheless,
Biddle (1998) believed that they indicated the order of pres-
sure to be expected, and that when they were considered in
conjunction with the potentially large surface area of sec-
ondary roots (perhaps 20 cm or more), they showed the
potential risk from root damage. The forces exerted could
be massive, particularly around the bases of trees growing
out of structures. Almeida, Mouga, and Barracosa (1994)
investigated damage caused to buildings by the root systems
of Ailanthus altissima in Portugal and found that the dam-
age could be severe.
Secondary roots also have the ability to deform around
any object that impedes their growth. Materechera, Dexter,
and Alston (1991), working with seedlings, found that a
compaction that caused a 94% reduction in root elongation
resulted in a 41% radial expansion for monocotyledon plants
and an 87% radial expansion for dicotyledon species tested.
Substantial radial growth can also occur as callus forma-
tion, following root damage.
Damage to Drains
Roots may travel along the unconsolidated backfill of drains,
and fine roots may enter any cracks that are allowing water
leakage. Fine roots will then proliferate in the drain, caus-
ing blockages and possibly enlarging the original crack.
Cutler and Richardson (1989) indicate the tree species most
commonly implicated in the United Kingdom. Cardozo
(1981) discusses the damage caused by the roots of intro-
duced Ficus species in southern Florida.
Occasionally roots may cause direct damage by grow-
ing around clay pipes, and Mattheck, Lonsdale, and Breloer
(1994) discuss the mechanical principles involved.
Avoiding Root Damage
Damage may be prevented by not planting large trees in
close proximity to buildings, and Gasson and Cutler (1998)
showed how sensible use of available data can avoid dam-
age. British Standard 5837 (British Standards Institution
1991), Biddle (1997), and Coombes (1985) all provided guid-
ance in the United Kingdom. Balder (1998) gave an intro-
duction to the subject in Germany.
Edwards, Rowe, and Trought (1999) described the con-
trol of tree growth by planting in geotextile fabric bags in
New Zealand, and Moffat, Bending, and Dobson (1998)
tested mineral and synthetic barriers with variable success
in the United Kingdom.
Biddle (1998) discussed precautions against future
damage when trees and buildings are already in close prox-
imity. He suggested removing paths or paving slabs close to
the base of the tree and severing the offending root in cases
in which this would not destabilize the tree. Roots should be
cut as far from the tree as possible, and the mass of small
roots, which regenerate from the edges of the cut, will not
cause a problem. He suggested that root severance should
not cause instability, provided that the cut be made at a dis-
tance from the center of the tree that is greater than the tree
circumference.
National Joint Utilities Group publication no. 10 sug-
gests that flexible plastic drainage systems be used in the
vicinity of trees (National Joint Utilities Group 1995).
Control with Herbicides
Biddle (1998) stated that the most effective herbicide for
stump treatment is ammonium sulphamate, used either as a
40% solution or as crystals applied to the cut surface. He also
mentioned 2,4,5,-T, 2,4-D (ester) and a triclopyr, dicamba,
2,4-D ester mixture as useful alternatives. The ester should
be dissolved as 1 part in 40 parts of diesel or other light oil.
Several other authors confirm the efficacy of these herbi-
cides. Hamilton and McHenry (1982), for example, found
that ammonium sulphamate, 2,4,5-T, 2,4-D, and glyphosate

144 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
would prevent the sprouting of Eucalyptus globulus stumps,
while Tabbush and Williamson (1987) showed that ammo-
nium sulphamate, glyphosate, and trichlopyr would control
the regrowth of Rhododendron in the United Kingdom.
Marrs (1985) found that 2,4,5-T, ammonium sulphamate,
glyphosate, hexazinone, and trichlopyr were all equally
effective on birch stumps.
Jager and Oosterbaan (1979) found that while a satu-
rated solution of ammonium sulphamate controlled stump
regrowth, the best treatment for stems that he tested was
glyphosate. Willoughby (1999) achieved similar results,
when he found that imazapyr and trichlopyr provided ade-
quate suppression of growth from ash, sycamore, and birch
stumps but that glyphosate, which was ineffective when
applied to the stumps, was very effective against regrowth
shoots. The work of other authors also suggests that the best
treatment for stumps is not necessarily the best for shoots
and branches. Woodall (1982) tested eight herbicides against
Brazilian pepper (Schinus terebinthifolius) and the tree
Melaleuca quinquenervia, two exotic species that had
become widely established in Florida. He found that broma-
cil and hexazinone were both effective, while ammonium
sulphamate and glyphosate were not particularly useful.
Popay, Rolston, and Edmonds (1985) controlled gorse bushes
(Ulex europaeus) with metsulfon-methyl and glyphosate in
New Zealand but had little success with ammonium sul-
phamate. Tripathi, Verma, and Sharma (1992) found that
glyphosate, with or without oxadiazon or fluroxypyr, was
effective against Lantana camara in India, and that the
results from ammonium sulphamate were encouraging.
These results all suggest that while ammonium sulphamate
is useful for treating stumps and glyphosate (for example) is
useful for treating shoots, suitability will also depend on the
species of plant present, and this may necessitate field test-
ing a range of herbicides.
Glyphosate, a systemic herbicide, will be carried
through the root system and inhibit suckering. Suckering
may also be suppressed by ringing the bark of the tree twelve
months before the tree is felled, so that the roots are deprived
of food reserves (Biddle 1998). These may be important con-
siderations when dealing with tree or shrub damage to earth
buildings. Some herbicides that are applied to stumps
encourage colonization by decay fungi, and Rayner (1977a;
1977b) found that ammonium sulphamate strongly encour-
aged the growth of Phlebia merismoides. This potential may
cause difficulties in arboriculture because some of the fungi
encouraged may be important forest pests (Nelson, Pearce,
and Malajczuk 1995), but the rapid decay of roots in walls
may assist repairs and assist the exclusion of other pest
organisms.
Roots in pipes may be killed with herbicides, which will
not affect the tree. Groninger, Zedaker, and Seiler (1997)
tested a range of herbicides and found that glufosinate was
the most effective, although there was some damage to the
plant tested.
Ferns and Bracken
Bracken and ferns can be vigorous colonizers with destruc-
tive rhizome systems. Rees and Mills (1999) state that both
glyphosate and asulam will kill them, but asulam is reason-
ably specific. This should reduce damage to nontarget
species.
Termites
About twenty-two hundred species of termites have been
recognized worldwide, but only a few of these cause damage
to crops or buildings, and only about fifty species have
become serious pests. Termites reportedly caused damage to
earthen buildings by tunnelling up the walls to reach roof
timbers, and may be a significant problem where timber or
bamboo poles have been incorporated into the construction
(Pearce 1997). The modified soil produced by their activities
may also improve the environment for other colonizing
organisms (see the section on mason bees below). The scien-
tific literature is vast, and the following provides an overview
of a range of control methods that might be incorporated
into a pest management program.
Termites are colonial insects related to cockroaches.
They may be grouped into four categories based on their
habits and moisture content requirements:
1. Harvester termites feed on grass and plant litter and
rarely attack timber in buildings.
2. Damp wood termites live in old tree stumps, rotting
logs, and pieces of buried timber. They rely on a
considerable source of damp to survive. Once estab-
lished, they can attack sound wood in the structure of
buildings, but pest species are mostly restricted to the
northwestern United States.
3. Dry wood termites live entirely within dry wood, and
unlike the other groups, they are less dependent on an
external source of moisture. They are able to survive
above ground, and do not require access to the soil. This
ability should make them major pests, but most only
 Wall-Inhabiting Organisms and Their Control in Earthen Structures 145
occur in small colonies and are usually relatively easy to
control.
4. Subterranean termites build their nests in the soil or on
trunks of trees and rely principally on the soil for a
source of moisture. Covered shelter tubes may be
constructed from soil and saliva to protect the insects
from desiccation when they forage. Some subterranean
termites, notably Coptotermes formosanus, have the
ability to exploit extraneous water sourcesfor
example, leaking pipes. The subterranean termite group
provides most of the major pest species in buildings
around the world. Some species have been transported
extensively by human activities. C. formosanus, for
example, is a termite that originated in the Far East but
has become a major pest in the United States.
Termite Treatments
It has become customary to differentiate between dry wood
termite treatments, which may include building fumigation
or localized treatments, and subterranean termite treat-
ments, which include wall treatment and protection from
invasion through the soil. It is worth remembering, how-
ever, that extensive treatment methods have mostly been
developed to control some very aggressive species of ter-
mites in the United States and Australia. Methods that
might have little impact on a massive infestation by Coptot-
ermes formosanus in the United States may prove more
effective against small and localized colonies of Amitermes
species in the coral-rock walled buildings of Bahrain, for
example. It will usually be worth identifying the species of
termite involved and finding any information on its normal
colony size and behavior.
A further problem is that new and effective antitermite
formulations may not be registered for use or may be too
expensive to use in some countries. I have tried to make this
review as wide as possible by including a variety of methods
that may be applicable where more exotic solutions are not
available.
Fumigation
Dry wood termite control frequently includes the fumiga-
tion of whole structures with toxic gases. These gases are
extremely hazardous, and they must only be used by fully
trained technicians. Two gases, methyl bromide and sul-
phuryl fluoride, are currently used (Lewis and Haverty
1996), but there is now widespread concern that methyl bro-
mide has an adverse effect on the ozone layer, and sulphuryl
fluoride is considered to be the more acceptable alternative
(Chambers and Millard 1995). The efficacy of both gases can
be enhanced synergistically when mixed with carbon diox-
ide (Scheffrahn, Wheeler, and Su 1995). Either the gases are
used in enclosed spaces or the buildings are covered with
gasproof tarpaulins.
Termiticides
Organochlorine insecticides were the favored control
method during the middle decades of the twentieth century,
and these might give over thirty years protection to a build-
ing. Unfortunately, organochlorine insecticides also accu-
mulated within the environment, and their use has been
banned in most countries. Organophosphorus compounds
(e.g., chlorpyrifos) and artificial pyrethroids (e.g., per-
methrin) have now largely replaced them, but they are not as
persistent in the soil. Soil persistence is important because
orthodox methods for controlling subterranean termites
require the treatment of the soil around and, where possible,
under a building to inhibit reinfestation. Retreatments, if
control methods fail, may be prohibitively expensive in
many countries (Edwards and Mill 1986).
A variety of organic termiticides have now been tested
(e.g., Raetano, Wilcken, and Crocomo 1997; Scheffrahn and
Thoms 1999; and Tan et al. 2000) and found to be more or
less successful. Some of these were not specifically devel-
oped for the control of termites. Scheffrahn and Thoms
(1999), for example, discuss the use of a fermented soil
microorganism. This product was developed for agricul-
tural use.
Inorganic salts seem to have been more problematic
(e.g., Moein and Farrag 1997; Scheffrahn, Su, and Busey
1997), which is unfortunate because they are more likely to
be available and affordable in many countries. These salts
are generally used to control dry wood termites. Boron com-
pounds, for example, when used for spray treatments, par-
ticularly disodium octaborate tetrahydrate, are considered
to be effective by some authors (e.g., Jones 1991; Moore 1993)
and less so by others (e.g., Scheffrahn and Thoms 1999).
Boron compounds are also very water soluble and cannot be
used for ground treatments.
A new class of biocides, the chloronicotinyl insecti-
cides, has recently been developed (Elbert et al. 1991; Elbert,
Nauen, and Leicht 1998). These were synthesized as agro-
chemicals, but two products containing imidacloprid have
now been marketed as nonrepellent termiticides. Imidaclo-
prid apparently acts as a nerve poison and, because it is

146 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
nonrepellent and slow acting, a zone is created into which
the termites may forage. Those that enter will slowly die.
This mode of action differs from that of other termiticides,
in which the chemical formulation produces a toxic repel-
lent barrier.
Soil Treatments
The treatment of soil with termiticides in order to form a
barrier between the termites and the structure (trenching or
irrigation) has been a routine component of termite treat-
ment since the 1940s. A standard for acceptable perfor-
mance is that the insecticide used should prevent termites
from penetrating 90% of the barrier for at least five years
(Kard 1996). All of the commercially available organophos-
phate and pyrethroid soil termiticides have undergone vig-
orous simulated field testing and have been shown to be
acceptably effective under the test conditions (Su and Schef-
frahn 1990a; Kard 1996).
Persistence of the termiticide is, however, also depen-
dent on the environment. Organophosphorus compounds
may be less durable in tropical regions than they are in tem-
perate ones (Pearce 1997), and chlorpyrifos, for example,
was found to weather rapidly in the soil in Thailand (Sorn-
nuwat et al. 1996). Part of the latter problem may be that
fungi break down the insecticide, and the efficacy of chlor-
pyrifos was improved by mixing it with chlorothalonil, a
fungicide (Laks and Pruner 1995; Creffield and Chew 1995).
Nevertheless, chlorpyrifos may also bind to clay soils so that
its efficacy is diminished (Pearce 1997), and the choice of
termiticide in any particular area must clearly depend on a
variety of considerations. More information on the relation-
ships between termiticides and soil types may be found in a
work by Gold and colleagues (Gold et al. 1996).
Irrigation and Spray Treatments
Orthodox termite treatments in buildings with solid walls
usually include the drilling and irrigating of walls with the
termiticide. This may seem to be essential with earth build-
ings, where termites are using the interiors of the walls as
nesting sites or highways, but in some situations large num-
bers of irrigation holes, and large quantities of fluid, may
destabilize the structure or cause surface damage through
salt migration. If the wall interior is loose rubble or
unbonded stonework, then it may be impossible without
using a foam (see the section on foams below) to achieve an
effective distribution of the insecticide and thus to treat any
concealed timbers. This problem may perhaps be reduced if
imidacloprid is used, because the chemical is claimed to
repel termites, and even an imperfect treatment may slowly
diminish the foraging insect population by attrition.
Foams for Cavities and Rubble Construction
Many of the termiticides available may be formulated as
foams, and these have been developed for treating cavities
and dispersing termiticides under concrete (Thomas, Bar-
low, and Robinson 1993; Potter, Hardy, and Richardson
1991; Robinson 1994). The insecticide is mixed with a foam-
ing agent and distributed with a foam-generating machine.
The size of the cavity and the loading of required active
ingredient will both influence the characteristics of the
foam. Damp foams with small bubbles are reported by
equipment suppliers to penetrate well around gravel. Some
products (e.g., imidacloprid) can be made into foams with
minimal water content, so that water damage to finishes is
avoided, although operators have expressed doubts that dry
foams will allow enough of the active ingredient to pene-
trate surfaces effectively in some situations. Foams may be
useful for treating loosely constructed rubble/stone walls,
where there are embedded leveling timbers or poles.
Baits
Baits are attractants containing slow-acting toxicants,
which are dispersed around the colony by the insects natu-
ral social behavior. These chemicals may be direct poisons
(e.g., Jones 1991), or they may inhibit some developmental
process such as molting or cuticle hardening (Su and Schef-
frahn 1990b). Their potential advantages as a control
method, from an environmental point of view, are that
only very small quantities of chemical are used, and
that these chemicals are targeted at the pest insect (Su
1994b). They are particularly useful in situations where
normal chemical methods are inappropriate. These situa-
tions might include access difficulties, the close proximity
of groundwater, or the avoidance of damage to a historic
structure or finish.
Some baits are seen as a method of termite control
rather than of eradication, and they are often used in con-
junction with chemical barrier treatments. Bait stations are
frequently marketed as a preventative measure to provide
an early warning of a termite attack.
Baiting is a slow process because there may be a signifi-
cant delay before the termites find the bait station, and con-
trol may take many months to achieve. This means that the
bait stations will have to be regularly inspected so that baits
 Wall-Inhabiting Organisms and Their Control in Earthen Structures 147
can be added or replenished as necessary. Regular monitor-
ing may have cost implications that could make the process
more expensive than chemical barrier treatments. Improve-
ments in efficacy have been made by modifying commercial
bait stations (Grace et al. 1996) and adding attractants
(French 1991). Improving the attractiveness of the bait
material may simply be achieved by making it damp (Dela-
plane and La Fage 1989), utilizing decayed wood (Esenther
and Beal 1979), or adding a feeding stimulant such as urea
(Henderson, Kirby, and Chen 1994).
Many baits have been tested with varying levels of
successsee, for example, Pawson and Gold (1996),
Forschler (1996), Henderson and Forschler (1997), and
Madden (1999). The most successful bait at the present
time, as judged by the number of technical papers sup-
porting it, would seem to be hexaflumuron. The efficacy of
this chemical has been well documented. Examples would
include the control of Coptotermes formosanus and Retic-
ulitermes spp. in the United States (Su 1994a; Rust et al.
1998; Getty et al. 1999); Reticulitermes spp. in Europe
(Clement et al. 1996; Ferrari and Marini 1999); and Cop-
totermes acinaciformis in Australia (Peters and Fitzgerald
1999). Forschler and Ryder (1996) report on the baiting of
four characterized colonies of Coptotermes formosanus,
each containing an average of forty-three thousand ter-
mites, and covering a foraging area of 16 m 2 . Three months
after baiting commenced, activity in three of these colo-
nies was undetectable.
Hexaflumuron is a chitin synthesis inhibitor and is
used as the active ingredient in the first commercially avail-
able baiting system, which was introduced onto the market
in the United States in May 1995 (Su and Scheffrahn 1996).
A second and similar active ingredient, diflubenzuron, is
now being used by a different company. These baits are only
available as part of a commercial service, and the service is
unobtainable or too expensive in many countries where
there are earthen buildings in need of conservation. A third
growth regulator, triflumuron, has recently been registered
for use as an antitermite dust in Australia and may be useful
either for topical application or as a bait. This compound
was studied by Madden (1999). All of these active ingredi-
ents affect cuticle hardening, so the termites die when they
molt. Other growth regulating chemicals, including fenoxy-
carb, methoprene, and hydroprene, increase the numbers of
soldiers, presoldiers, or nonfunctional intercasts produced
by a colony (Haverty and Howard 1979; Su, Tamashiro, and
Haverty 1985; Pearce 1997). The extra soldiers and inter-
casts all need to be fed by the workers, and theoretically the
colony ultimately starves.
Other baits tested have included the slow-acting poi-
sons sulfluramid and fipronil (Henderson and Forschler
1997). The first of these is available in the United States as a
professional system and as a do-it-yourself system for home
owners. The manufacturers of the homeowners system have
been required to state that it is for monitoring rather than
for termite eradication.
The general method of using a bait is to attract the ter-
mites to a box or tube containing an attractive food mate-
rial, which may be nondurable wood or cardboard. The
bait station is either placed in the ground or is set to inter-
cept termite foraging. The mode of use will affect the
design of the trap. Once termites begin to feed at the sta-
tion, they are removed and treated, or transferred to a new
bait container where the same food material now contains
the toxic ingredient (Kletch 1996). Bait containers are
replaced in the ground or in buildings, and the treated ter-
mites recruit others from the colony to the bait. Ballard
(1999) has incorporated baits into an integrated pest man-
agement programme (IPM).
Grace, Yamamoto, and Tamashiro (1992) found that
disodium octaborate tetrahydrate, impregnated into timber
as a solution of strength 0.85%3.0%, was toxic to termites
and would suppress feeding but not stop it. Borate-impreg-
nated rods have been used as baits and may be useful in
some situations. Both borates (e.g., Forschler 1996) and
fluorosilicates (Pearce 1997) have been used in low-technol-
ogy baiting systems, but their main mode of action may be
to poison the protozoa (microorganisms) that break down
wood in the guts of the lower termites. The higher termites
(Termitidae) make their own enzymes to break down wood,
and their guts contain very few protozoa (Edwards and Mill
1986). It is possible that these baits may prove to be less
effective against the Termitidae.
Criteria used to assess bait programs are discussed in
Grace and colleagues (Grace et al. 1996), Su and Scheffrahn
(1996), and Thorne and Forschler (2000).
Control with Pathogenic Fungi
Suzuki (1996) screened seventeen mold species for potential
termite control. Three species, Paecilomyces fumosoroseus,
Metarhizium anisopliae, and Beauveria bassiana, exhibited
the best control. Delate, Grace, and Tome (1995) tested
M. anisopliae and B. bassiana. They found that the termites
did not avoid filter paper discs inoculated with the fungi,

148 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
and that both caused rapid termite mortality. Metarhizium
is now being evaluated for termite control in Australia (Sta-
ples and Milner 1996) and is marketed in the United States
(Quarles 1999). Boucias and colleagues (Boucias et al. 1996)
found a good synergistic effect with a combined treatment
using imidacloprid and Beauveria bassiana. The insecticide
weakened the termites and increased their susceptibility to
the fungus.
Field tests using these fungi, particularly as baits, have
shown mixed results. Possible problems are avoidance of
the fungus spores and the removal and burial of infected
individuals by other members of the colony (Rath 2000).
Heat and Cold Treatments
Rust and Reierson (1998) showed that the upper tempera-
ture tolerance level for dry wood termites was 49OC, and for
subterranean termites it was 440C. This supports a study by
Woodrow and Grace (1977), who showed that termites
would die if subjected to temperatures of 55OC for five min-
utes or 49OC for thirty minutes. Heat treatments may be
practical in some situations, but they would have to be care-
fully monitored to ensure that adequate temperatures were
maintained. Lewis and Haverty (1996) found that heat
sinks, for example, wood on concrete, might make some
structures difficult to treat. The same authors also found
that heating with microwaves could be useful.
Rust and Reierson (1998) showed that temperatures
that were less than 20OC would kill termites, and Lewis
and Haverty (1996) discussed gravity feeding liquid nitro-
gen into walls.
Termite Detection
If baits or targeted termiticides are to be used, then it is
essential that active infestation be located, because baits do
not normally contain attractants. There may be a consider-
able time lapse before the baits are located by the general
foraging of the insects.
In 1929 Emerson and Simpson devised an apparatus for
detecting termite activity using a microphone made from a
telephone transmitter (Emerson and Simpson 1929). A
major problem with this and other early devices was inter-
ference from extraneous sounds. Modern advances in trans-
ducers and amplifiers have allowed this problem to be largely
overcome by the use of higher frequencies. Lemaster, Beall,
and Lewis (1997) found that a frequency of 60 kHz maxi-
mized detection while minimizing background noise. Most
of the acoustic detection devices that have been marketed
detect vibrations caused by feeding, and not movement
within a cavity. This means that the transducer has to be in
intimate contact with the infested piece of wood, and use on
earth walls containing timber would probably be limited.
The detection of audible termite-generated sounds with sen-
sitive microphones, or electronic stethoscopes, remains
difficult, because these sounds are easily masked by other
ambient environmental noises (Scheffrahn et al. 1993).
Dogs or electronic devices may detect gases produced
by subterranean termites. Lewis, Fouche, and Lemaster
(1997) tested both methods and found that the dogs per-
formed well, provided that enough termites were present in
the sample. The electronic device did not demonstrate sta-
tistically significant detection ability. These authors state
that neither detection method was reliable with control
samples [no termites] or with samples with a low number of
termites (p. 79).
Lewis and Haverty (1996) discussed other nondestruc-
tive search methods for entire walls, and these included
microwaves and laser and infrared technology. Thermal
imaging has been shown to detect termite colonies and
might be useful for earth-walled buildings in some
environments.
Small wooden stakes of various kinds, which are
inserted into the ground, have been used to monitor termite
colonies and to act as an early warning system for future
infestations. Further details may be found in Ewart and col-
leagues (Ewart et al. 1992), French (1991), Su and Scheffrahn
(1986), and Su (1994a).
Preventing Infestation
Many timber species are resistant to termite attack, and
infestation should only be a problem if fungi change the
density or chemistry of the wood (Pearce 1997). Fungi
require water, and a good maintenance program, together
with bait monitoring and the localized use of a combined
fungicide and insecticide, may be more appropriate than
extensive chemical treatments in many situations (Ridout
2000). Unfortunately, suitably durable timbers for repairs
may now be impossibly expensive or unobtainable in many
countries. One solution is to use pretreated lumber, and to
use boron compounds (Myles 1994), copper naphthenate
(Grace, Yamamoto, and Laks 1993), and copper, chromium,
and arsenic formulations (Edwards and Mill 1986); all have
their advocates.
Grace and Yates (1999) believe that prevention is better
than cure, and they advocate, among topics already dis-
 Wall-Inhabiting Organisms and Their Control in Earthen Structures 149
cussed here, the use of physical barriers. These are installed
into the soil around the building in order to exclude forag-
ing subterranean termites. Lenz and Runko (1994) found
that fine stainless steel mesh placed under new buildings
would provide an effective barrier. Grace and colleagues
(Grace et al. 1996) found that the mesh would provide pro-
tection to structural timbers, but a field trial in Australia by
Peters and Fitzgerald (1997) found that their termites would
burrow 1.5 m under a stainless steel mesh sleeve to reach
pine and eucalyptus poles.
A wide variety of granular materials have been sug-
gested as trench infill barriers, and the idea is that the gran-
ules should be too big for the termites to move and too small
for them to tunnel through (French 1993). Su and Schef-
frahn (1992) demonstrated that a 20 cm deep layer of sand
of grain size 2.02.8 mm would exclude Coptotermes and
Reticulitermes spp. Ahmed and French (1996) found that
finely graded crushed granite (marketed as Granitguard)
excluded termites from a test building in Australia. Yates,
Grace, and Reinhardt (2000) found that crushed basalt,
marketed as a barrier in Hawaii, was an effective material,
but that lack of understanding of installation requirements
resulted in failures. They identified key problems and
offered guidance. Lewis and colleagues (Lewis et al. 1996)
observed that the monitoring of these barriers was essen-
tial, because the termites sometimes bridged them with for-
aging tubes. Removal of unnecessary timber around and
within the building will remove reservoirs of infestation
and reduce the food source available to the termites. This
may help to limit the development of termite colonies
(Haagsma et al. 1995).
Mason Bees
The names mason bees or mortar bees are used for species of
solitary bees that nest in crevices or holes in masonry. Some-
times the terms are also used for bees that construct their
nests from mud. Nests in walls generally consist of a single
burrow or a series of branching burrows, each terminating
in a chamber. Eggs are laid on pellets of pollen and nectar in
the chambers.
Mason bees tend to exploit extant holes, but if the mor-
tar or wall substance is soft, then the system of galleries or
tunnels may be excavated by the females, and damage can
sometimes be significant (Mourikis, Argyrious, and Tsour-
gianni 1988). Walker, McGregor, and Little (1996) mentioned
severe infestation in a damp earthen wall where render had
collapsed. The holes apparently allowed water into the wall
that encouraged frost damage, and progressive decay resulted
eventually in demolition.
Some species of bees in temperate climates overwinter
in galleries and enlarge them or construct new ones the fol-
lowing spring. Populations can increase substantially over a
few years. In the United Kingdom, damage usually occurs
in south-facing walls.
Walker, McGregor, and Little (1996) and the Building
Research Establishment (1996) both suggest repointing with
an appropriate material that is not too strong for the general
wall material yet hard enough to discourage the bees. Joints
should be raked out squarely to a depth of at least 15 mm.
The Building Research Establishment (1996) suggests that
the work be undertaken in the late summer to avoid the bees
and the frost.
The same authors suggest injecting the holes with insec-
ticides and spray treatment with the same solution, if the
work can only be undertaken when the bees are active. They
suggest that an annual spray treatment during the spring
may be necessary if the bees are burrowing into the actual
building material rather than the joints, unless a render coat
is acceptable. Pearson (1992) recommends discouraging
them at the first signs of activity by hanging mesh over the
wall. If this fails, then he suggests injecting the holes and
spraying the walls every autumn.
Mourikis, Argyrious, and Tsourgianni (1988) state
that they reduced the numbers of bees with light traps, but
unfortunately no further details are given.
Rodents and Burrowing Animals
Rodent burrowing activity has a direct effect upon a wall,
but it also modifies the environment for the organisms.
Rodents, lizards, snakes, and many species of invertebrates
may make use of burrows (Skinner and Smithers 1990), and
the burrowing activity will loosen the compaction of the
earth used for construction (Dickman 1999). The latter envi-
ronmental change alone may make the environment more
suitable for seed germination (Contreras and Gutirrez
1991) or for root growth. Comparisons of soils from rodent
mounds and undisturbed intermound areas have also shown
a difference in organic content, water-holding capacity, and
nutrient status (Hobbs and Hobbs 1987; Inouye et al. 1987;
Huntly and Inouye 1988). Some, or all, of these effects may
be produced by rodent activity in, or at least in the vicinity
of, earthen walls and thus make the walls more accessible to
a wide range of colonizing organisms. Many species of
rodent hoard seed for later consumption (Reichman and

150 Terra Literature Review: An Overview of Research in Earthen Architecture Conservation
Price 1993), and some of these seeds may survive to germi-
nate and become established (Vander Wall 1990) because
the environment within rodent burrows is generally quite
humid (Reichman and Smith 1990).
Substrate moisture content may be of considerable
importance to burrowing animals, and some may not be
able to excavate if the soil is dry and hard (Reichman and
Smith 1990).
Rodent Control
Lethal chemicals still play a major role in developed coun-
tries for the control of rodent pests. These compounds may
be used as baits, liquids, dusts, or gases (Buckle 1994). Poi-
sons fall into two main categories, acute and chronic. Fre-
quently one or the other is chosen, but Pathak and Saxena
(1997) achieved 100% control of rodent pests in Jaipur by
using an acute and a chronic poison sequentially. A sub-
acute category is sometimes mentioned, but this is ill defined
(Buckle 1985).
Acute Poisons
These usually produce an onset of toxicosis within twenty-
four hours. If the poison is supplied as a bait, then the ani-
mal has to eat an amount sufficient to kill it, without being
repelled by the taste or only made sick so that it subse-
quently avoids the bait (Prakash 1988). The latter effect is of
particular importance because many rodents only nibble
lightly at an unfamiliar food until confidence is established
(Barnett 1988). One advantage of acute poisons is that they
tend to be fairly simple compounds and therefore inexpen-
sive (Meehan 1984).
Chronic Poisons
Anticoagulant rodenticides developed in the United States
from observations that feeding on spoiled clover hay caused
hemorrhagic disease in cattle. The active ingredient was
found to be dicoumarol (Link 1944), and a series of syn-
thetic derivatives, including warfarin, were developed
(Buckle 1994). Resistance of rats to warfarin was first
reported from Scotland in 1958 (Boyle 1960), and this
became a significant and worldwide problem that was only
overcome with the development of second-generation
anticoagulants (Hadler and Shadboldt 1975). Control of a
rodent population is usually achieved by pulse baiting
(Dubock 1984) in which small quantities of bait are used at
weekly intervals. Baits may be formulated in cereals, pellets,
or wax blocks.
Barriers and Traps
Physical control methods, which would include barriers,
traps, rat drives, digging, and netting (Singleton et al. 1999),
are the normal methods of rodent control in many develop-
ing countries. This may be because of cost or availability of
rodenticides, or because some governments are becoming
concerned about the misuse of chemicals (Singleton 1999).
Barriers have been constructed to protect fields of rice
in the Philippines (Quick and Manaligod 1990) and could
presumably be used in some circumstances for buildings.
Meyer (1994) suggested the construction of a concrete cur-
tain wall, about 100 mm thick and extending not less than
600 mm below ground, with the base turned out some
300 mm away from the building in the shape of an L. He also
suggested that applying a horizontal band of smooth render-
ing, which could then be painted with two coats of high-
gloss paint, could prevent rodents from climbing up vertical
walls. A strip of smooth metal sheeting could be applied to
wooden buildings. All bands should be about 2030 cm wide
and not less than 1 m above the base of the outside wall. Pro-
tective collars of aluminum foil or rigid plastic have been
used to protect trees (Myllmaki 1987), and these may be use-
ful in other situations. Smith (1994) provides the following
guidance for rodent-proofing buildings:
Materials must be proof against gnawing, e.g., brick,
concrete blocks, sheet metal, or fine-mesh metal.
Apertures should be 6 mm maximum.
Climbing guards must be sufficiently high up drainpipes,
etc., to prevent jumping beyond, and wide enough to pre-
vent them climbing around.
Drain traps should be used, to prevent access through
drains and sewers.
Doors must be kept closed and free of debris.
Wilkins (1982) found that rodents were unwilling to
cross open areas such as roads, and the avoidance of shelter
around buildings might be a useful preventative measure.
Good hygiene within the building is also essential for rodent
control (Meyer 1994).
Many types of traps are available for catching small
rodents, and these may be either single or multiple catch;
they may either catch the animal alive or kill it (Kaukeinen
1994). Greaves (1982) believes that effective control is only
possible if a large number of traps are used, and he recom-
mends two or three times the estimated number of rodents
present. It would seem that traps alone would only be of
value if there were a very small population of rodents. They
 Wall-Inhabiting Organisms and Their Control in Earthen Structures 151
may, however, be of value for monitoring as part of an inte-
grated pest management scheme that uses a range of control
measures.
Smith (1994, 109) states that the primary aim of pest
management should be to reduce damage, rather than to
kill the pest, and many problems with animals that exca-
vate into earth buildings can probably be controlled by
repairing the damage and by frequent maintenance. Smith
(1994) also discusses a variety of additional control meth-
ods, including electric fences and diversion feeding. The use
of fencing, trapping, or shooting has been recommended for
larger mammals (Dunwell and Trout 1999).
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Contributors
Erica Avrami is a doctoral candidate in Planning and Public
Policy at the Bloustein School, Rutgers University, where
her research focuses on sustainability planning and the pol-
itics of preservation. She received her bachelors and mas-
ters degrees in architecture and historic preservation,
respectively, from Columbia University. Avrami formerly
served as a Project Specialist at the Getty Conservation
Institute, where her work focused on the role of values in
heritage conservation, preservation planning, and earthen
architecture.
Claudia Cancino is a project specialist at the Getty Conser-
vation Institute, where she works with the Earthen Archi-
tecture Initiative. She is an architect and holds an MS in
historic preservation and an advanced certificate in conser-
vation from the University of Pennsylvania. She also trained
in architectural conservation at ICCROM. Cancino was pre-
viously a member of the architecture faculty at the Universi-
dad Peruana de Ciencias Aplicadas. She has worked as a
conservator on archaeological sites with earthen plasters in
the southwestern United States.
Hubert Guillaud is an architect and professor at the Inter-
national Centre for Earthen Construction in the School of
Architecture of Grenoble (CRATerre-EAG). He has served
as CRATerres scientific director since 2000 and is responsi-
ble for the development of the UNESCO Chair on Earthen
Architecture, Building Cultures, and Sustainable Develop-
ment, which is based at CRATerre-EAG. He has contributed
to the development of the Gaia project, sponsored by CRA-
Terre-EAG and ICCROM, as well as to Project Terra, a part-
nership among CRATerre-EAG, ICCROM, and the Getty
Conservation Institute.
Mary Hardy holds masters degrees in architecture and in
historic preservation, and she completed a postgraduate
study course in architectural and urban design for historic
158
cities. As Senior Project Specialist for the Getty Conserva-
tion Institute from 2001 to 2007, Hardy managed Project
Terra and the Earthen Architecture Initiative. Prior to join-
ing the GCI, she had over fifteen years experience as a con-
servation architect and architectural conservator. She is
currently in private practice in Berkeley, California.
Anne Oliver is an architectural conservator with a broad
range of experience in the preservation of historic buildings
and archaeological sites. She received a masters degree in
historic preservation from the University of Pennsylvania,
with a focus on the conservation of stone, plaster, and
earthen materials. As a conservator with the National Park
Service, she worked primarily on Native American archaeo-
logical sites and Spanish colonial ruins. Today she is the
principal of Oliver Conservation Group, a preservation con-
sulting firm based in Salt Lake City, Utah.
Leslie Rainer is a senior project specialist at the Getty Con-
servation Institute and a conservator of wall paintings and
decorated architectural surfaces. She has worked on proj-
ects in the Americas, Europe, China, and West Africa, many
of which involve decorated surfaces on earthen supports.
She is former chair of the US/ICOMOS Specialized Com-
mittee on Earthen Architecture and was a member of the
organizing committees for Terra 2008 and for the Conser-
vation of Decorated Surfaces on Earthen Architecture Col-
loquium in 2004.
Brian Ridout is the author of many articles on timber decay,
An Introduction to Timber Decay (1992), and Timber Decay
in Buildings: The Conservation Approach to Treatment
(1999). In 1996 he was elected Honorary Research Fellow of
Birkbeck College, University of London. From 1994 to 1997
he was Scientific Coordinator for the international Wood-
care Research Project, which studied deathwatch beetle
behavior and control. Since 1987 he has been a director of

Ridout Associates, consultants specializing in timber decay
and other damp-related problems in historic buildings,
located in Hagley, West Midlands, UK.
Bruce Velde, PhD, has been with the Centre National de la
Recherche Scientifique since 1965, and he is currently its
Directeur de Recherche. He specializes in the identification,
synthesis, physical properties, and stability of clay minerals.
He has worked in the geological application of this science,
as well as in the field of archaeology.
Contributors 159
Frederick A. Webster is a registered civil engineer who
earned his doctorate in structural engineering from Stanford
University. He has specialized in seismic retrofit techniques
for existing earthen structures, as well as consulted on dam-
age to earthen construction caused by earthquake and hur-
ricane. Webster designs seismic retrofits for historic adobe
buildings, including some of Californias historic adobe mis-
sions, and is presently working on the structural design of
new earthen residences in California.
Terra Literature Review
Terra Literature Review

An Overview of Research in Earthen Architecture Conservation

An Overview of Research in
Earthen Architecture Conservation

Edited by
Erica Avrami, Hubert Guillaud, and Mary Hardy

Avrami Guillaud Hardy